EMERALD ADVISERS, LLC

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Emerald Advisers is based out of Leola. Emerald Advisers is a large advisory firm with 30 clients and discretionary assets under management (AUM) of $2,276,054,817 (Form ADV from 2019-09-30). Their last reported 13F filing for Q3 2019 included $2,141,168,000 in managed 13F securities and a top 10 holdings concentration of 19.87%. Emerald Advisers's largest holding is Trex Company with shares held of 641,841. Emerald Advisers has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 77 13F filings, and 13 13G filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.141 Billion
  • Prior Market Value $2.49 Billion
  • New Purchases28 stocks
  • Additional Purchases51 stocks
  • Sold out of33 stocks
  • Reduced holdings in132 stocks
  • Top 10 Holdings % 19.87 %
  • Turnover % [1]:24.90%
  • Turnover Alt % [2]: 16.37 %
  • Time Held Top20:3.65 quarters
  • Time Held Top10:2.60 quarters
  • Time Held All:8.79 quarters

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

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

Portfolio Performance

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

Performance for Q3 2019: 11.56%
Performance Last 4 Quarters: 31.16%
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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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 (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR/A (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

EMERALD ADVISERS, LLC
3175 OREGON PIKE
LEOLA PA    17540
Country: United States

Business Phone: 717-396-1116
Fax: 717-396-0088
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: PA
Number of employees: 35
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 30
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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EMERALD ADVISERS, LLC

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
MERTZ, KENNETH, GEORGE CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR 10/01/1992 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 1992-10-01
EMERALD MUTUAL FUND ADVISERS TRUST PRESIDENT, CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER direct 2005-03-01
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER direct 1992-10-01 2001-02-26
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 1992-10-01 2006-06-21
EMERALD ASSET MANAGEMENT PA, LLC DIRECT OWNER 07/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ADVISERS, LLC DIRECT OWNER direct 2018-07-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
SEARS, STACEY, LYNN SENIOR VICE PRESIDENT AND DIRECTOR 03/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2001-03-01
EMERALD MUTUAL FUND ADVISERS TRUST VICE PRESIDENT, SECRETARY AND PORTFOLIO MANAGER direct 2005-03-01
MOYER, DANIEL, WEBSTER EXECUTIVE VICE PRESIDENT 09/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC EXECUTIVE VICE PRESIDENT direct 2002-09-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2010-02-01
EMERALD MUTUAL FUND ADVISERS TRUST EXECUTIVE VICE PRESIDENT direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2005-12-01
EMERALD FIXED INCOME ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2011-05-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING DIRECTOR direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2013-07-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS AND BOARD MEMBER direct 2014-01-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2014-01-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
MEEHAN, JAMES, ANDREW CHIEF COMPLIANCE OFFICER 08/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER direct 2002-08-01
EMERALD MUTUAL FUND ADVISERS TRUST CHIEF COMPLIANCE OFFICER direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-12-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
EMERALD ETF ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
REHR, SCOTT, LAMBERT CHIEF OPERATING OFFICER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF OPERATING OFFICER direct 2012-02-01
EMERALD DIRECT LENDING ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
EMERALD ETF ADVISERS, LLC CHIEF ADMINISTRATIVE OFFICER AND BOARD MEMBER direct 2014-03-01
EMERALD FIXED INCOME ADVISERS, LLC CAO, BOARD OF MANAGERS direct 2015-09-01
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER direct 1991-11-01 2001-02-26
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 1991-11-01 2001-09-27
CONNORS INVESTOR SERVICES INC DIRECTOR direct 2010-01-01 2011-09-09
EMERALD ETF ADVISERS, LLC CHIEF ADMINISTRATIVE OFFICER direct 2014-03-01 2014-03-13
EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST MEMBER EMERALD ASSET MANAGEMENT, INC. 09/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC SHAREHOLDER indirect 2012-09-01
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 2012-09-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC SHAREHOLDER indirect 2013-07-01
EMERALD ETF ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ASSET MANAGEMENT, INC. MEMBER EMERALD ASSET MANAGEMENT PA, LLC 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
EMERALD MUTUAL FUND ADVISERS TRUST PARENT COMPANY indirect 1995-01-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC PARENT COMPANY direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC PARENT COMPANY indirect 2009-07-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ADVISERS INC DIRECT OWNER direct 2012-09-01
EMERALD ETF ADVISERS, LLC PARENT COMPANY direct 2014-02-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECT OWNER indirect 1995-01-01 2010-12-13
EMERALD ADVISERS INC DIRECT OWNER direct 1995-01-01 2012-01-03
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 1995-01-01 2013-01-03
BESECKER, JOSEPH, EDWARD TRUSTEE EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC PRESIDENT direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
EMERALD ETF ADVISERS, LLC PRESIDENT AND BOARD MEMBER direct 2104-03-01
GLOBAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 1995-01-01 2010-12-13
EMERALD ADVISERS INC SHAREHOLDER indirect 1995-01-01 2012-01-03
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 1995-01-01 2012-01-03
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 1995-01-01 2012-01-31
EMERALD FIXED INCOME ADVISERS, LLC SHAREHOLDER indirect 1995-01-01 2012-04-24
EMERALD DIRECT LENDING ADVISERS, LLC PRESIDENT direct 2013-07-01 2013-12-24
EMERALD ETF ADVISERS, LLC PRESIDENT direct 2104-03-01 2014-03-13
MOYER, DANIEL, WEBSTER TRUSTEE EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC EXECUTIVE VICE PRESIDENT direct 2002-09-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2010-02-01
EMERALD MUTUAL FUND ADVISERS TRUST EXECUTIVE VICE PRESIDENT direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2005-12-01
EMERALD FIXED INCOME ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2011-05-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING DIRECTOR direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2013-07-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS AND BOARD MEMBER direct 2014-01-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2014-01-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
WARE, PAUL, WILLARD TRUSTEE EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC BOARD MEMBER direct 2013-07-01
EMERALD ETF ADVISERS, LLC BOARD MEMEBER direct 2014-03-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
1251 ASSET MANAGEMENT PLATFORM, LLC MEMBER EMERALD ASSET MANAGEMENT PA, LLC 10/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2018-10-01
1251 ASSET MANAGEMENT PAYCO, LLC MEMBER 1251 ASSET MANAGEMENT PLATFORM, LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2018-10-01
1251 FINANCING COMPANY, LLC MEMBER 1251 ASSET MANAGEMENT PAYCO, LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2018-10-01
1251 CAPITAL GROUP, INC. MANAGING MEMBER 1251 FINANCING COMPANY, LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MANAGING MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING MEMBER indirect 2018-10-01
1251 CAPITAL GROUP HOLDINGS, LLC SHAREHOLDER 1251 CAPITAL GROUP, INC. 10/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 2018-10-01
HAILER, JOHN, THOMAS MEMBER/MANAGER 1251 CAPITAL GROUP HOLDINGS, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NVEST FUNDS MANAGEMENT LP PRESIDENT direct 2000-04-01 2004-12-06
IXIS ASSET MANAGEMENT ADVISORS, L.P. PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2000-04-01 2006-11-28
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. DIRECTOR direct 2004-09-01 2007-02-06
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. PRESIDENT, CHIEF EXECUTIVE OFFICER (CEO) direct 2000-04-01 2007-11-09
AURORA INVESTMENT MANAGEMENT L.L.C. DIRECTOR direct 2008-02-01 2016-03-30
HARRIS ASSOCIATES LP DIRECTOR OF GENERAL PARTNER direct 2007-10-01 2017-03-20
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. DIRECTOR direct 2008-04-01 2017-03-30
ALPHASIMPLEX GROUP, LLC DIRECTOR direct 2014-03-01 2017-03-30
LOOMIS, SAYLES & COMPANY, L.P. DIRECTOR OF GENERAL PARTNER direct 2008-02-01 2017-03-31
NATIXIS ASSET MANAGEMENT U.S., LLC DIRECTOR direct 2014-01-01 2017-03-31
Maguire, Christopher MEMBER 1251 CAPITAL GROUP HOLDINGS, LLC 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2016-07-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2016-07-01
EMSTONE ADVISERS, LLC MANAGER indirect 2016-07-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2016-07-01
Wilson, Michael, Arthur Ross MEMBER 1251 CAPITAL GROUP HOLDINGS, LLC 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2016-07-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2016-07-01
EMSTONE ADVISERS, LLC MANAGER indirect 2016-07-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2016-07-01
BRIZIUS, CHARLES, ALBERT MEMBER/MANAGER 1251 CAPITAL GROUP HOLDINGS, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
THL EQUITY ADVISORS IV, LLC MEMBER direct 1997-11-01
THL MANAGERS V, LLC MEMBER direct 2000-02-01
THL CREDIT ADVISORS LLC DIRECTOR direct 2009-06-01 2012-08-30

EMERALD ADVISERS, LLC

ownership team - last updated 2018-10-31
Name Title Start Date Direct/Indirect % Ownership
EMERALD ASSET MANAGEMENT PA, LLC DIRECT OWNER 07/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ADVISERS, LLC DIRECT OWNER direct 2018-07-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
MERTZ, KENNETH, GEORGE CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR 10/01/1992 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 1992-10-01
EMERALD MUTUAL FUND ADVISERS TRUST PRESIDENT, CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER direct 2005-03-01
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER direct 1992-10-01 2001-02-26
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 1992-10-01 2006-06-21
SEARS, STACEY, LYNN SENIOR VICE PRESIDENT AND DIRECTOR 03/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2001-03-01
EMERALD MUTUAL FUND ADVISERS TRUST VICE PRESIDENT, SECRETARY AND PORTFOLIO MANAGER direct 2005-03-01
MOYER, DANIEL, WEBSTER EXECUTIVE VICE PRESIDENT 09/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC EXECUTIVE VICE PRESIDENT direct 2002-09-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2010-02-01
EMERALD MUTUAL FUND ADVISERS TRUST EXECUTIVE VICE PRESIDENT direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2005-12-01
EMERALD FIXED INCOME ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2011-05-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING DIRECTOR direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2013-07-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS AND BOARD MEMBER direct 2014-01-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2014-01-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
MEEHAN, JAMES, ANDREW CHIEF COMPLIANCE OFFICER 08/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER direct 2002-08-01
EMERALD MUTUAL FUND ADVISERS TRUST CHIEF COMPLIANCE OFFICER direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-12-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
EMERALD ETF ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
REHR, SCOTT, LAMBERT CHIEF OPERATING OFFICER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF OPERATING OFFICER direct 2012-02-01
EMERALD DIRECT LENDING ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
EMERALD ETF ADVISERS, LLC CHIEF ADMINISTRATIVE OFFICER AND BOARD MEMBER direct 2014-03-01
EMERALD FIXED INCOME ADVISERS, LLC CAO, BOARD OF MANAGERS direct 2015-09-01
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER direct 1991-11-01 2001-02-26
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 1991-11-01 2001-09-27
CONNORS INVESTOR SERVICES INC DIRECTOR direct 2010-01-01 2011-09-09
EMERALD ETF ADVISERS, LLC CHIEF ADMINISTRATIVE OFFICER direct 2014-03-01 2014-03-13
EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST MEMBER EMERALD ASSET MANAGEMENT, INC. 09/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC SHAREHOLDER indirect 2012-09-01
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 2012-09-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC SHAREHOLDER indirect 2013-07-01
EMERALD ETF ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ASSET MANAGEMENT, INC. MEMBER EMERALD ASSET MANAGEMENT PA, LLC 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
EMERALD MUTUAL FUND ADVISERS TRUST PARENT COMPANY indirect 1995-01-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC PARENT COMPANY direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC PARENT COMPANY indirect 2009-07-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ADVISERS INC DIRECT OWNER direct 2012-09-01
EMERALD ETF ADVISERS, LLC PARENT COMPANY direct 2014-02-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECT OWNER indirect 1995-01-01 2010-12-13
EMERALD ADVISERS INC DIRECT OWNER direct 1995-01-01 2012-01-03
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 1995-01-01 2013-01-03
BESECKER, JOSEPH, EDWARD TRUSTEE EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC PRESIDENT direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
EMERALD ETF ADVISERS, LLC PRESIDENT AND BOARD MEMBER direct 2104-03-01
GLOBAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 1995-01-01 2010-12-13
EMERALD ADVISERS INC SHAREHOLDER indirect 1995-01-01 2012-01-03
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 1995-01-01 2012-01-03
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 1995-01-01 2012-01-31
EMERALD FIXED INCOME ADVISERS, LLC SHAREHOLDER indirect 1995-01-01 2012-04-24
EMERALD DIRECT LENDING ADVISERS, LLC PRESIDENT direct 2013-07-01 2013-12-24
EMERALD ETF ADVISERS, LLC PRESIDENT direct 2104-03-01 2014-03-13
MOYER, DANIEL, WEBSTER TRUSTEE EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC EXECUTIVE VICE PRESIDENT direct 2002-09-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2010-02-01
EMERALD MUTUAL FUND ADVISERS TRUST EXECUTIVE VICE PRESIDENT direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2005-12-01
EMERALD FIXED INCOME ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2011-05-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING DIRECTOR direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2013-07-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS AND BOARD MEMBER direct 2014-01-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2014-01-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
WARE, PAUL, WILLARD TRUSTEE EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC BOARD MEMBER direct 2013-07-01
EMERALD ETF ADVISERS, LLC BOARD MEMEBER direct 2014-03-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
1251 ASSET MANAGEMENT PLATFORM, LLC MEMBER EMERALD ASSET MANAGEMENT PA, LLC 10/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2018-10-01
1251 ASSET MANAGEMENT PAYCO, LLC MEMBER 1251 ASSET MANAGEMENT PLATFORM, LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2018-10-01
1251 FINANCING COMPANY, LLC MEMBER 1251 ASSET MANAGEMENT PAYCO, LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2018-10-01
1251 CAPITAL GROUP, INC. MANAGING MEMBER 1251 FINANCING COMPANY, LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST MANAGING MEMBER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMSTONE ADVISERS, LLC MANAGING MEMBER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING MEMBER indirect 2018-10-01
1251 CAPITAL GROUP HOLDINGS, LLC SHAREHOLDER 1251 CAPITAL GROUP, INC. 10/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 2018-10-01
EMERALD DIRECT LENDING ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMERALD ETF ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2018-10-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 2018-10-01
HAILER, JOHN, THOMAS MEMBER/MANAGER 1251 CAPITAL GROUP HOLDINGS, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NVEST FUNDS MANAGEMENT LP PRESIDENT direct 2000-04-01 2004-12-06
IXIS ASSET MANAGEMENT ADVISORS, L.P. PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2000-04-01 2006-11-28
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. DIRECTOR direct 2004-09-01 2007-02-06
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. PRESIDENT, CHIEF EXECUTIVE OFFICER (CEO) direct 2000-04-01 2007-11-09
AURORA INVESTMENT MANAGEMENT L.L.C. DIRECTOR direct 2008-02-01 2016-03-30
HARRIS ASSOCIATES LP DIRECTOR OF GENERAL PARTNER direct 2007-10-01 2017-03-20
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. DIRECTOR direct 2008-04-01 2017-03-30
ALPHASIMPLEX GROUP, LLC DIRECTOR direct 2014-03-01 2017-03-30
LOOMIS, SAYLES & COMPANY, L.P. DIRECTOR OF GENERAL PARTNER direct 2008-02-01 2017-03-31
NATIXIS ASSET MANAGEMENT U.S., LLC DIRECTOR direct 2014-01-01 2017-03-31
Maguire, Christopher MEMBER 1251 CAPITAL GROUP HOLDINGS, LLC 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2016-07-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2016-07-01
EMSTONE ADVISERS, LLC MANAGER indirect 2016-07-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2016-07-01
Wilson, Michael, Arthur Ross MEMBER 1251 CAPITAL GROUP HOLDINGS, LLC 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD MUTUAL FUND ADVISERS TRUST MEMBER indirect 2016-07-01
EMERALD DIRECT LENDING ADVISERS, LLC MEMBER indirect 2016-07-01
EMERALD ETF ADVISERS, LLC MEMBER indirect 2016-07-01
EMSTONE ADVISERS, LLC MANAGER indirect 2016-07-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MEMBER indirect 2016-07-01
BRIZIUS, CHARLES, ALBERT MEMBER/MANAGER 1251 CAPITAL GROUP HOLDINGS, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
THL EQUITY ADVISORS IV, LLC MEMBER direct 1997-11-01
THL MANAGERS V, LLC MEMBER direct 2000-02-01
THL CREDIT ADVISORS LLC DIRECTOR direct 2009-06-01 2012-08-30

EMERALD ADVISERS INC

ownership team - last updated 2017-12-19
Name Title Start Date Direct/Indirect % Ownership
MERTZ, KENNETH, GEORGE CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR 10/01/1992 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 1992-10-01
EMERALD MUTUAL FUND ADVISERS TRUST PRESIDENT, CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER direct 2005-03-01
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER direct 1992-10-01 2001-02-26
EMERALD ADVISERS INC CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 1992-10-01 2006-06-21
EMERALD ASSET MANAGEMENT DIRECT OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
EMERALD MUTUAL FUND ADVISERS TRUST PARENT COMPANY indirect 1995-01-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC PARENT COMPANY direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC PARENT COMPANY indirect 2009-07-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD ADVISERS INC DIRECT OWNER direct 2012-09-01
EMERALD ETF ADVISERS, LLC PARENT COMPANY direct 2014-02-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECT OWNER indirect 1995-01-01 2010-12-13
EMERALD ADVISERS INC DIRECT OWNER direct 1995-01-01 2012-01-03
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 1995-01-01 2013-01-03
SEARS, STACEY, LYNN SENIOR VICE PRESIDENT AND DIRECTOR 03/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2001-03-01
EMERALD MUTUAL FUND ADVISERS TRUST VICE PRESIDENT, SECRETARY AND PORTFOLIO MANAGER direct 2005-03-01
MOYER, DANIEL, WEBSTER EXECUTIVE VICE PRESIDENT 09/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC EXECUTIVE VICE PRESIDENT direct 2002-09-01
GLOBAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2010-02-01
EMERALD MUTUAL FUND ADVISERS TRUST EXECUTIVE VICE PRESIDENT direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2005-12-01
EMERALD FIXED INCOME ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2011-05-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC MANAGING DIRECTOR direct 2009-07-01
EMERALD DIRECT LENDING ADVISERS, LLC TRUSTEE indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT AND BOARD MEMBER direct 2013-07-01
EMERALD DIRECT LENDING ADVISERS, LLC EXECUTIVE VICE PRESIDENT direct 2013-07-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS AND BOARD MEMBER direct 2014-01-01
EMERALD ETF ADVISERS, LLC MANAGING DIRECTOR OF BUSINESS OPERATIONS direct 2014-01-01
EMERALD ETF ADVISERS, LLC TRUSTEE indirect 2014-03-01
MEEHAN, JAMES, ANDREW CHIEF COMPLIANCE OFFICER 08/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER direct 2002-08-01
EMERALD MUTUAL FUND ADVISERS TRUST CHIEF COMPLIANCE OFFICER direct 2005-03-01
EMERALD FIXED INCOME ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2005-12-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
EMERALD ETF ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
REHR, SCOTT, LAMBERT CHIEF OPERATING OFFICER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC CHIEF OPERATING OFFICER direct 2012-02-01
EMERALD DIRECT LENDING ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
EMERALD ETF ADVISERS, LLC CHIEF ADMINISTRATIVE OFFICER AND BOARD MEMBER direct 2014-03-01
EMERALD FIXED INCOME ADVISERS, LLC CAO, BOARD OF MANAGERS direct 2015-09-01
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER direct 1991-11-01 2001-02-26
EMERALD ADVISERS INC CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 1991-11-01 2001-09-27
CONNORS INVESTOR SERVICES INC DIRECTOR direct 2010-01-01 2011-09-09
EMERALD ETF ADVISERS, LLC CHIEF ADMINISTRATIVE OFFICER direct 2014-03-01 2014-03-13
EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST SHAREHOLDER EMERALD ASSET MANAGEMENT 09/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EMERALD ADVISERS INC SHAREHOLDER indirect 2012-09-01
EMERALD MUTUAL FUND ADVISERS TRUST SHAREHOLDER indirect 2012-09-01
EMSTONE ADVISERS, LLC SHAREHOLDER indirect 2012-09-01
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC SHAREHOLDER indirect 2012-09-01
EMERALD DIRECT LENDING ADVISERS, LLC SHAREHOLDER indirect 2013-07-01
EMERALD ETF ADVISERS, LLC SHAREHOLDER indirect 2012-09-01

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