FDX ADVISORS, INC.

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FDX Advisors is based out of Sacramento. FDX Advisors is a large advisory firm with 9 clients and discretionary assets under management (AUM) of $6,743,098,068 (Form ADV from 2019-10-31). Their last reported 13F filing for Q3 2019 included $1,444,907,000 in managed 13F securities and a top 10 holdings concentration of 23.5%. FDX Advisors's largest holding is iShares Core U.S. Aggregate Bond ETF with shares held of 455,447. FDX Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 31 13F filings

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Equal-WT
WhaleScore

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67

S&P 500
WhaleScore

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Manager Weighted
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.445 Billion
  • Prior Market Value $2.552 Billion
  • New Purchases60 stocks
  • Additional Purchases222 stocks
  • Sold out of239 stocks
  • Reduced holdings in341 stocks
  • Top 10 Holdings % 23.50 %
  • Turnover % [1]:47.92%
  • Turnover Alt % [2]: 85.12 %
  • Time Held Top20:4.65 quarters
  • Time Held Top10:3.60 quarters
  • Time Held All:14.31 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: 3.83%
Performance Last 4 Quarters: 12.38%
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/A (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/A (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/A (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FDX ADVISORS, INC.
2399 GATEWAY OAKS DRIVE, SUITE 200
SACRAMENTO CA    95833
Country: United States

Business Phone: 916-288-6400
Fax: 916-288-6500
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: CA
Number of employees: 75
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: 9
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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FDX ADVISORS, INC.

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
M3FN, LLC SOLE SHAREHOLDER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. SOLE STOCKHOLDER direct 2008-07-01
BERGMAN, JUDSON, T CHIEF EXECUTIVE OFFICER AND DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01
LARSON, BRADLEY, THOMAS CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENESIS CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2007-04-01
STRATEGIC CAPITAL GROUP L.L.C. CHIEF COMPLIANCE OFFICER direct 2012-09-01
STRATEGIC CAPITAL ALTERNATIVES, LLC CHIEF COMPLIANCE OFFICER direct 2012-09-01
GRINIS, SCOTT, DAVID CHIEF TECHNOLOGY OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
FOLIO DYNAMICS, INC. SOLE MEMBER M3FN, LLC 07/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. SOLE MEMBER indirect 2008-07-01
FOLIO DYNAMICS HOLDINGS, INC. MEMBER FOLIO DYNAMICS, INC. 11/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. MEMBER indirect 2014-11-01
ENVESTNET, INC. SOLE SHAREHOLDER FOLIO DYNAMICS HOLDINGS, INC. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01

FDX ADVISORS, INC.

ownership team - last updated 2018-12-26
Name Title Start Date Direct/Indirect % Ownership
M3FN, LLC SOLE SHAREHOLDER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. SOLE STOCKHOLDER direct 2008-07-01
BERGMAN, JUDSON, T CHIEF EXECUTIVE OFFICER AND DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01
LARSON, BRADLEY, THOMAS CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENESIS CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2007-04-01
STRATEGIC CAPITAL GROUP L.L.C. CHIEF COMPLIANCE OFFICER direct 2012-09-01
STRATEGIC CAPITAL ALTERNATIVES, LLC CHIEF COMPLIANCE OFFICER direct 2012-09-01
FOLIO DYNAMICS, INC. SOLE MEMBER M3FN, LLC 07/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. SOLE MEMBER indirect 2008-07-01
FOLIO DYNAMICS HOLDINGS, INC. MEMBER FOLIO DYNAMICS, INC. 11/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. MEMBER indirect 2014-11-01
ENVESTNET, INC. SOLE SHAREHOLDER FOLIO DYNAMICS HOLDINGS, INC. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01

FDX ADVISORS, INC.

ownership team - last updated 2018-05-01
Name Title Start Date Direct/Indirect % Ownership
M3FN, LLC SOLE SHAREHOLDER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. SOLE STOCKHOLDER direct 2008-07-01
HENSRUD, SHARI CHIEF COMPLIANCE OFFICER 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. CHIEF INVESTMENT OFFICER direct 2011-09-01
FDX ADVISORS, INC. CHIEF COMPLIANCE OFFICER / PRESIDENT / CHIEF INVESTMENT OFFICER direct 2011-09-01
FDX ADVISORS, INC. CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-09-01
FDX ADVISORS, INC. PRESIDENT / CHIEF INVESTMENT OFFICER direct 2011-09-01
BERGMAN, JUDSON, T CHIEF EXECUTIVE OFFICER AND DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01
FOLIO DYNAMICS, INC. SOLE MEMBER M3FN, LLC 07/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. SOLE MEMBER indirect 2008-07-01
FOLIO DYNAMICS HOLDINGS, INC. MEMBER FOLIO DYNAMICS, INC. 11/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. MEMBER indirect 2014-11-01
ENVESTNET, INC. SOLE SHAREHOLDER FOLIO DYNAMICS HOLDINGS, INC. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01

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