EP WEALTH ADVISORS, LLC

HTTP://WWW.EPWEALTH.COM TORRANCE, CA Investment Advisor How do I update this listing?

Also known as:

  • EP WEALTH ADVISORS INC

EP Wealth Advisors is based out of Torrance. EP Wealth Advisors is a large advisory firm with 3203 clients and discretionary assets under management (AUM) of $4,290,000,000 (Form ADV from 2019-03-28). Their last reported 13F filing for Q1 2019 included $1,040,007,000 in managed 13F securities and a top 10 holdings concentration of 35.67%. EP Wealth Advisors's largest holding is Vanguard Small-Cap ETF with shares held of 507,997. Whalewisdom has at least 31 13F filings

Download 13F Summary to Excel Create Email Alert

03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $1.04 Billion
  • Prior Market Value $1.296 Billion
  • New Purchases43 stocks
  • Additional Purchases81 stocks
  • Sold out of58 stocks
  • Reduced holdings in111 stocks
  • Top 10 Holdings % 35.67 %
  • Turnover % [1]:41.39%
  • Turnover Alt % [2]: 47.99 %
  • Time Held Top20:10.05 quarters
  • Time Held Top10:6.30 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 2019-02-14

Performance for Q4 2018: 0.67%
Performance Last 4 Quarters: 4.54%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 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/A (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

EP WEALTH ADVISORS
21515 HAWTHORNE BLVD SUITE 1200
TORRANCE CA    90503
Country: United States

Business Phone: 310-543-4559
Fax: 310-316-0401
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 99
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 3203
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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EP WEALTH ADVISORS, LLC.

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
HOLMAN, DEREK, HALLOCK MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2005-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
EP WEALTH ADVISORS, INC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1999-02-01
PARKER, BRIAN, EDWARD MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, LLC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
GOSHTIGIAN, PATRICK, GABRIEL PRESIDENT 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. PRESIDENT direct 2011-06-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC CHIEF ADMINISTRATIVE OFFICER direct 2005-09-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT direct 2007-07-01
TRADEWINDS NWQ GLOBAL INVESTORS, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CHILIN, MARIO CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-03-01
ASHWORTH, KEVIN, JON INVESTMENT DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. INVESTMENT DIRECTOR direct 2005-02-01
MORGAN JESS S & CO INC INVESTMENT RESEARCH ASSISTANT direct 2000-06-01 2001-04-30
PREMIER FINANCIAL MANAGEMENT, LLC DIRECTOR direct 2004-12-01 2005-09-09
ENRIGHT PREMIER WEALTH ADVISORS, INC. DIRECTOR indirect 2004-12-01 2008-02-20
SERRECCHIA, RYAN, STEVEN EVP & PARTNER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. EVP & PARTNER direct 2015-04-01
PROJECT EPIC ACQUISITIONS LLC MEMBER 07/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
MAI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-06-01
EP WEALTH ADVISORS, INC. MEMBER indirect 2017-07-01
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
EPWA INC. MEMBER 07/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
SINCLAIR, CHAD CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, LLC. CHIEF FINANCIAL OFFICER direct 2018-03-01
WEALTH PARTNERS CAPITAL GROUP MEMBER PROJECT EPIC ACQUISITIONS LLC 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
MAI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-06-01
EP WEALTH ADVISORS, INC. MEMBER indirect 2017-07-01
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
PARKER, BRIAN, EDWARD SHAREHOLDER EPWA INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, LLC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
HOLMAN, DEREK, HALLOCK SHAREHOLDER EPWA INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2005-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
EP WEALTH ADVISORS, INC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1999-02-01
76 WEST HOLDINGS, LLC MEMBER WEALTH PARTNERS CAPITAL GROUP 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FFT WEALTH MANAGEMENT LLC MEMBER indirect 2017-07-01
LGL PARTNERS, LLC MEMBER indirect 2017-06-01
SCHWARTZ, ERIC, STUART MEMBER 76 WEST HOLDINGS, LLC 06/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) direct 2003-04-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) direct 2003-04-01
GOLDMAN SACHS PRINCETON LLC MANAGING DIRECTOR, DIRECTOR direct 2003-12-01
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-06-01
FFT WEALTH MANAGEMENT LLC MEMBER indirect 2008-06-01
LGL PARTNERS, LLC MEMBER indirect 2008-06-01

EP WEALTH ADVISORS, LLC.

ownership team - last updated 2018-12-10
Name Title Start Date Direct/Indirect % Ownership
HOLMAN, DEREK, HALLOCK MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2005-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
EP WEALTH ADVISORS, INC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1999-02-01
PARKER, BRIAN, EDWARD MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, LLC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
GOSHTIGIAN, PATRICK, GABRIEL PRESIDENT 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. PRESIDENT direct 2011-06-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC CHIEF ADMINISTRATIVE OFFICER direct 2005-09-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT direct 2007-07-01
TRADEWINDS NWQ GLOBAL INVESTORS, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CHILIN, MARIO CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-03-01
ASHWORTH, KEVIN, JON INVESTMENT DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. INVESTMENT DIRECTOR direct 2005-02-01
MORGAN JESS S & CO INC INVESTMENT RESEARCH ASSISTANT direct 2000-06-01 2001-04-30
PREMIER FINANCIAL MANAGEMENT, LLC DIRECTOR direct 2004-12-01 2005-09-09
ENRIGHT PREMIER WEALTH ADVISORS, INC. DIRECTOR indirect 2004-12-01 2008-02-20
SERRECCHIA, RYAN, STEVEN EVP & PARTNER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. EVP & PARTNER direct 2015-04-01
PROJECT EPIC ACQUISITIONS LLC MEMBER 07/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
MAI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-06-01
EP WEALTH ADVISORS, INC. MEMBER indirect 2017-07-01
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
EPWA INC. MEMBER 07/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
SINCLAIR, CHAD CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, LLC. CHIEF FINANCIAL OFFICER direct 2018-03-01
WEALTH PARTNERS CAPITAL GROUP MEMBER PROJECT EPIC ACQUISITIONS LLC 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
MAI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-06-01
EP WEALTH ADVISORS, INC. MEMBER indirect 2017-07-01
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
PARKER, BRIAN, EDWARD SHAREHOLDER EPWA INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, LLC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
HOLMAN, DEREK, HALLOCK SHAREHOLDER EPWA INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2005-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
EP WEALTH ADVISORS, INC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1999-02-01
76 WEST HOLDINGS, LLC MEMBER WEALTH PARTNERS CAPITAL GROUP 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FFT WEALTH MANAGEMENT LLC MEMBER indirect 2017-07-01
LGL PARTNERS, LLC MEMBER indirect 2017-06-01
SCHWARTZ, ERIC, STUART MEMBER 76 WEST HOLDINGS, LLC 06/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) direct 2003-04-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) direct 2003-04-01
GOLDMAN SACHS PRINCETON LLC MANAGING DIRECTOR, DIRECTOR direct 2003-12-01
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-06-01
FFT WEALTH MANAGEMENT LLC MEMBER indirect 2008-06-01
LGL PARTNERS, LLC MEMBER indirect 2008-06-01

EP WEALTH ADVISORS, LLC.

ownership team - last updated 2018-06-11
Name Title Start Date Direct/Indirect % Ownership
HOLMAN, DEREK, HALLOCK MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2005-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
EP WEALTH ADVISORS, INC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1999-02-01
PARKER, BRIAN, EDWARD MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, LLC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
GOSHTIGIAN, PATRICK, GABRIEL PRESIDENT 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. PRESIDENT direct 2011-06-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC CHIEF ADMINISTRATIVE OFFICER direct 2005-09-01
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT direct 2007-07-01
TRADEWINDS NWQ GLOBAL INVESTORS, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CHILIN, MARIO CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-03-01
ASHWORTH, KEVIN, JON INVESTMENT DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. INVESTMENT DIRECTOR direct 2005-02-01
MORGAN JESS S & CO INC INVESTMENT RESEARCH ASSISTANT direct 2000-06-01 2001-04-30
PREMIER FINANCIAL MANAGEMENT, LLC DIRECTOR direct 2004-12-01 2005-09-09
ENRIGHT PREMIER WEALTH ADVISORS, INC. DIRECTOR indirect 2004-12-01 2008-02-20
SERRECCHIA, RYAN, STEVEN EVP & PARTNER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. EVP & PARTNER direct 2015-04-01
PROJECT EPIC ACQUISITIONS LLC MEMBER 07/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
MAI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-06-01
EP WEALTH ADVISORS, INC. MEMBER indirect 2017-07-01
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
EPWA INC. MEMBER 07/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
SINCLAIR, CHAD CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
EP WEALTH ADVISORS, LLC. CHIEF FINANCIAL OFFICER direct 2018-03-01
WEALTH PARTNERS CAPITAL GROUP MEMBER PROJECT EPIC ACQUISITIONS LLC 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
MAI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-06-01
EP WEALTH ADVISORS, INC. MEMBER indirect 2017-07-01
EP WEALTH ADVISORS, INC. MEMBER direct 2017-07-01
PARKER, BRIAN, EDWARD SHAREHOLDER EPWA INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, LLC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
HOLMAN, DEREK, HALLOCK SHAREHOLDER EPWA INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ENRIGHT PREMIER WEALTH ADVISORS, INC. MANAGING DIRECTOR indirect 1999-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR direct 2005-02-01
EP WEALTH ADVISORS, INC. MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2005-02-01
ENRIGHT PREMIER WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
EP WEALTH ADVISORS, INC. SHAREHOLDER indirect 2017-07-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR direct 1999-02-01
PREMIER FINANCIAL MANAGEMENT, LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1999-02-01
76 WEST HOLDINGS, LLC MEMBER WEALTH PARTNERS CAPITAL GROUP 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FFT WEALTH MANAGEMENT LLC MEMBER indirect 2017-07-01
LGL PARTNERS, LLC MEMBER indirect 2017-06-01
SCHWARTZ, ERIC, STUART MEMBER 76 WEST HOLDINGS, LLC 06/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) direct 2003-04-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) direct 2003-04-01
GOLDMAN SACHS PRINCETON LLC MANAGING DIRECTOR, DIRECTOR direct 2003-12-01
MAI CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-06-01
FFT WEALTH MANAGEMENT LLC MEMBER indirect 2008-06-01
LGL PARTNERS, LLC MEMBER indirect 2008-06-01

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