FINANCIAL ENGINES ADVISORS L.L.C.

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Financial Engines Advisors is based out of Sunnyvale. Financial Engines Advisors is a large advisory firm with 1154215 clients and discretionary assets under management (AUM) of $181,300,000,000 (Form ADV from 2019-10-24). Their last reported 13F filing for Q3 2019 included $18,591,185,000 in managed 13F securities and a top 10 holdings concentration of 71.43%. Financial Engines Advisors's largest holding is Vanguard Growth ETF with shares held of 17,084,184. Financial Engines Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 41 13F 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 $18.591 Billion
  • Prior Market Value $17.103 Billion
  • New Purchases25 stocks
  • Additional Purchases60 stocks
  • Sold out of7 stocks
  • Reduced holdings in33 stocks
  • Top 10 Holdings % 71.43 %
  • Turnover % [1]:26.89%
  • Turnover Alt % [2]: 8.29 %
  • Time Held Top20:4.95 quarters
  • Time Held Top10:3.00 quarters
  • Time Held All:9.37 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: 5.45%
Performance Last 4 Quarters: 9.96%
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)
  • 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)

View Last Form Adv Compilation Report on Record

FINANCIAL ENGINES ADVISORS L.L.C.
1050 ENTERPRISE WAY 3RD FLOOR
SUNNYVALE CA    94089
Country: United States

Business Phone: 408-498-6000
Fax: 408-498-6010
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 1426
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Subscription fees,Fixed fees,SET-UP FEES & RELATED SVCS; REIMBURSEMENTS FOR PRINTED MATERIALS
Amount of client funds and securities: 14,388,300,000
Total Number of Clients: 1154215
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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FINANCIAL ENGINES ADVISORS L.L.C.

ownership team - last updated 2019-09-12
Name Title Start Date Direct/Indirect % Ownership
ANTONE, LEWIS, EMERSON EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL direct 2016-03-01
EDELMAN FINANCIAL ENGINES, LLC MEMBER MANAGER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC PARENT direct 1997-12-01
EADVISOR SHAREHOLDER direct 2000-10-01
TMFS ADVISORS, LLC MEMBER indirect 2016-02-01
SMART401K, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC MEMBER indirect 2016-02-01
TMFS ADVISORY SERVICES, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND STORE-HOUSTON, LLC MEMBER indirect 2016-02-01
FINANCIAL ENGINES ADVISORS LLC MEMBER direct 1997-12-01 2005-09-23
JONES, CHRISTOPHER, LEIGH CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2006-01-01
RAFFONE, LAWRENCE, MICHAEL CEO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2012-11-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER & CEO direct 2015-01-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER, CEO & PRESIDENT direct 2015-01-01
O'DONNELL, KELLY, SUSAN EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, BUSINESS OPERATIONS & CORPORATE STRATEGY, CRO direct 2016-05-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER direct 2017-02-01
ROBBINS, JONATHAN, DAVID CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2017-12-01
RAMOS, MARIO, MARQUES EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2019-04-01
THE EDELMAN FINANCIAL ENGINES CENTER, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP,LLC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY OF EFS LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER OF EDELMAN FINANCIAL SERVICES, LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY & SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS IV, LLC MANAGING MEMBER THE EDELMAN FINANCIAL ENGINES CENTER, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS IV, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS II, INC. MANAGING MEMBER EDELMAN FINANCIAL ENGINES INVESTMENTS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC. indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER direct 2012-12-01
SOF MANAGEMENT, LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC SOLE STOCKHOLDER EDELMAN FINANCIAL ENGINES HOLDINGS II, INC. 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES, L.P. MEMBER OF FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF SUMMER HOLDINGS 1, LLC indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF EDELMAN FINANCIAL HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2012-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2012-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL ENGINES INVESTMENTS, LLC MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CHARLOTTE CAPITAL, LLC SHAREHOLDER direct 2004-04-01
SMH GROUP INVESTMENT ADVISORS INC. PARENT COMPANY/SHAREHOLDER direct 2005-12-01
EDELMAN FINANCIAL ADVISORS LLC MAJORITY OWNER direct 2006-12-01
IPRO ONE MANAGEMENT, INC. SHAREHOLDER indirect 2007-09-01
POOL CAPITAL PARTNERS LLC MEMBER direct 2009-10-01
CUMMER MOYERS CAPITAL ADVISORS INC SHAREHOLDER direct 2000-10-01 2001-05-15
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MEMBER direct 2004-12-01 2005-04-19
MYVEST CORPORATION SHAREHOLDER indirect 1987-07-01 2005-07-05
MYVEST CORPORATION SHAREHOLDER direct 2004-09-01 2005-07-05
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC direct 2005-05-01 2005-07-25
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC indirect 2005-05-01 2005-08-10
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL ADVISORS, INC. indirect 2000-10-01 2007-03-27
GHE ADVISERS, L.P. SHAREHOLDER indirect 2006-08-01 2008-02-27
SALIENT ADVISORS, L.P. LIMITED PARTNER indirect 2003-05-01 2008-03-05
SALIENT ADVISORS, L.P. MEMBER indirect 2003-05-01 2008-03-05
LEONETTI & ASSOCIATES, LLC SHAREHOLDER direct 2008-03-01 2008-03-19
ENDOWMENT ADVISERS, L.P. CLASS A AND CLASS B LIMITED PARTNER direct 2004-12-01 2008-06-24
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2005-05-01 2009-01-02
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-02-06
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-04-02
EDELMAN FINANCIAL ADVISORS LLC MINORITY OWNER direct 2006-12-01 2009-05-14
ASTOR ASSET MANAGEMENT, L.L.C. PARTNER direct 2005-01-01 2009-11-17
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2011-04-08
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2012-03-30
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2007-05-01 2012-06-21
SOF MANAGEMENT, LLC PARENT indirect 1999-12-01 2012-09-26
EDELMAN FINANCIAL SERVICES LLC PARENT indirect 2007-05-01 2013-02-11
GFS ADVISORS LLC OWNER direct 2010-12-01 2014-03-28
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS indirect 2007-05-01 2014-08-29
THE RIKOON GROUP, LLC MEMBER direct 2007-05-01 2014-09-04
SMH CAPITAL ADVISORS, INC. PARENT COMPANY/SHAREHOLDER direct 2000-10-01 2014-09-10
GFS ADVISORS LLC OWNER direct 2014-07-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MEMBER direct 2008-03-01 2015-02-04
LEONETTI & ASSOCIATES, LLC SOLE MEMBER indirect 2014-10-01 2015-03-23
SANDERS MORRIS HARRIS INC. PARENT COMPANY direct 2000-02-01 2015-03-31
MILLER-GREEN FINANCIAL SERVICES, INC OWNER direct 2008-04-01 2015-03-31
THE RIKOON GROUP, LLC SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-07-13
SMH CAPITAL ADVISORS, INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
SANDERS MORRIS HARRIS INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC SOLE MEMBER indirect 2014-10-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2007-05-01 2015-10-26
H&F FLIGHT GP, LLC GENERAL PARTNER EDELMAN FINANCIAL ENGINES, L.P. 07/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-12-01

FINANCIAL ENGINES ADVISORS L.L.C.

ownership team - last updated 2019-06-20
Name Title Start Date Direct/Indirect % Ownership
EDELMAN FINANCIAL ENGINES, LLC MEMBER MANAGER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC PARENT direct 1997-12-01
EADVISOR SHAREHOLDER direct 2000-10-01
TMFS ADVISORS, LLC MEMBER indirect 2016-02-01
SMART401K, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC MEMBER indirect 2016-02-01
TMFS ADVISORY SERVICES, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND STORE-HOUSTON, LLC MEMBER indirect 2016-02-01
FINANCIAL ENGINES ADVISORS LLC MEMBER direct 1997-12-01 2005-09-23
JONES, CHRISTOPHER, LEIGH CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2006-01-01
RAFFONE, LAWRENCE, MICHAEL CEO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2012-11-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER & CEO direct 2015-01-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER, CEO & PRESIDENT direct 2015-01-01
ANTONE, LEWIS, EMERSON EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL direct 2016-03-01
O'DONNELL, KELLY, SUSAN EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, BUSINESS OPERATIONS & CORPORATE STRATEGY, CRO direct 2016-05-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER direct 2017-02-01
ROBBINS, JONATHAN, DAVID CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2017-12-01
RAMOS, MARIO, MARQUES EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2019-04-01
THE EDELMAN FINANCIAL ENGINES CENTER, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP,LLC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY OF EFS LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER OF EDELMAN FINANCIAL SERVICES, LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY & SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS IV, LLC MANAGING MEMBER THE EDELMAN FINANCIAL ENGINES CENTER, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS IV, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS II, INC. MANAGING MEMBER EDELMAN FINANCIAL ENGINES INVESTMENTS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC. indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER direct 2012-12-01
SOF MANAGEMENT, LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC SOLE STOCKHOLDER EDELMAN FINANCIAL ENGINES HOLDINGS II, INC. 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES, L.P. MEMBER OF FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF SUMMER HOLDINGS 1, LLC indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF EDELMAN FINANCIAL HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2012-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2012-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL ENGINES INVESTMENTS, LLC MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CHARLOTTE CAPITAL, LLC SHAREHOLDER direct 2004-04-01
SMH GROUP INVESTMENT ADVISORS INC. PARENT COMPANY/SHAREHOLDER direct 2005-12-01
EDELMAN FINANCIAL ADVISORS LLC MAJORITY OWNER direct 2006-12-01
IPRO ONE MANAGEMENT, INC. SHAREHOLDER indirect 2007-09-01
POOL CAPITAL PARTNERS LLC MEMBER direct 2009-10-01
CUMMER MOYERS CAPITAL ADVISORS INC SHAREHOLDER direct 2000-10-01 2001-05-15
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MEMBER direct 2004-12-01 2005-04-19
MYVEST CORPORATION SHAREHOLDER indirect 1987-07-01 2005-07-05
MYVEST CORPORATION SHAREHOLDER direct 2004-09-01 2005-07-05
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC direct 2005-05-01 2005-07-25
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC indirect 2005-05-01 2005-08-10
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL ADVISORS, INC. indirect 2000-10-01 2007-03-27
GHE ADVISERS, L.P. SHAREHOLDER indirect 2006-08-01 2008-02-27
SALIENT ADVISORS, L.P. LIMITED PARTNER indirect 2003-05-01 2008-03-05
SALIENT ADVISORS, L.P. MEMBER indirect 2003-05-01 2008-03-05
LEONETTI & ASSOCIATES, LLC SHAREHOLDER direct 2008-03-01 2008-03-19
ENDOWMENT ADVISERS, L.P. CLASS A AND CLASS B LIMITED PARTNER direct 2004-12-01 2008-06-24
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2005-05-01 2009-01-02
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-02-06
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-04-02
EDELMAN FINANCIAL ADVISORS LLC MINORITY OWNER direct 2006-12-01 2009-05-14
ASTOR ASSET MANAGEMENT, L.L.C. PARTNER direct 2005-01-01 2009-11-17
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2011-04-08
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2012-03-30
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2007-05-01 2012-06-21
SOF MANAGEMENT, LLC PARENT indirect 1999-12-01 2012-09-26
EDELMAN FINANCIAL SERVICES LLC PARENT indirect 2007-05-01 2013-02-11
GFS ADVISORS LLC OWNER direct 2010-12-01 2014-03-28
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS indirect 2007-05-01 2014-08-29
THE RIKOON GROUP, LLC MEMBER direct 2007-05-01 2014-09-04
SMH CAPITAL ADVISORS, INC. PARENT COMPANY/SHAREHOLDER direct 2000-10-01 2014-09-10
GFS ADVISORS LLC OWNER direct 2014-07-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MEMBER direct 2008-03-01 2015-02-04
LEONETTI & ASSOCIATES, LLC SOLE MEMBER indirect 2014-10-01 2015-03-23
SANDERS MORRIS HARRIS INC. PARENT COMPANY direct 2000-02-01 2015-03-31
MILLER-GREEN FINANCIAL SERVICES, INC OWNER direct 2008-04-01 2015-03-31
THE RIKOON GROUP, LLC SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-07-13
SMH CAPITAL ADVISORS, INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
SANDERS MORRIS HARRIS INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC SOLE MEMBER indirect 2014-10-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2007-05-01 2015-10-26
H&F FLIGHT GP, LLC GENERAL PARTNER EDELMAN FINANCIAL ENGINES, L.P. 07/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-12-01

FINANCIAL ENGINES ADVISORS L.L.C.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
EDELMAN FINANCIAL ENGINES, LLC MEMBER MANAGER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC PARENT direct 1997-12-01
EADVISOR SHAREHOLDER direct 2000-10-01
TMFS ADVISORS, LLC MEMBER indirect 2016-02-01
SMART401K, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC MEMBER indirect 2016-02-01
TMFS ADVISORY SERVICES, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND STORE-HOUSTON, LLC MEMBER indirect 2016-02-01
FINANCIAL ENGINES ADVISORS LLC MEMBER direct 1997-12-01 2005-09-23
JONES, CHRISTOPHER, LEIGH CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2006-01-01
RAFFONE, LAWRENCE, MICHAEL CEO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2012-11-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER & CEO direct 2015-01-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER, CEO & PRESIDENT direct 2015-01-01
BUNCH, JOHN, BRADLEY PRESIDENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TMFS ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORS, LLC PRESIDENT direct 2016-01-01
FINANCIAL ENGINES ADVISOR CENTER, LLC PRESIDENT direct 2016-02-01
THINKORSWIM ADVISORS, INC. DIRECTOR direct 2009-06-01
AMERIVEST INVESTMENT MANAGEMENT, LLC BOARD OF MANAGERS MEMBER direct 2008-10-01
AMERIVEST INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2008-10-01
THE MUTUAL FUND STORE-ST. LOUIS, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
SMART401K, LLC PRESIDENT direct 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC PRESIDENT direct 2016-02-01
THE MUTUAL FUND STORE-SYRACUSE, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-DETROIT, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-DENVER, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-OMAHA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE - INDIANA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-FLORIDA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-PORTLAND, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-NEW YORK, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORY SERVICES, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORY SERVICES, LLC PRESIDENT direct 2016-02-01
RED OPTION ADVISORS, INC. DIRECTOR direct 2010-03-01
THE MUTUAL FUND STORE - LOUISVILLE, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-LOUISIANA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-GEORGIA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-OHIO, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE - HOUSTON, LLC CHIEF EXECUTIVE OFFICER direct 2012-10-01
THE MUTUAL FUND STORE-HOUSTON, LLC PRESIDENT direct 2016-02-01
CHARLES SCHWAB & CO., INC. SENIOR VICE PRESIDENT - CLIENT SALES AND SERVICE direct 2003-08-01
TD AMERITRADE, INC. EVP, BRANCH DISTRIBUTION - BD direct 2006-04-01
TD WATERHOUSE INVESTOR SERVICES, INC. EVP, BRANCH DISTRIBUTION direct 2006-04-01
TD AMERITRADE, INC. PRESIDENT, DIRECTOR direct 2008-10-01
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2016-02-01
ANTONE, LEWIS, EMERSON EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL direct 2016-03-01
O'DONNELL, KELLY, SUSAN EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, BUSINESS OPERATIONS & CORPORATE STRATEGY, CRO direct 2016-05-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER direct 2017-02-01
ROBBINS, JONATHAN, DAVID CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2017-12-01
THE EDELMAN FINANCIAL ENGINES CENTER, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP,LLC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY OF EFS LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER OF EDELMAN FINANCIAL SERVICES, LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY & SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS IV, LLC MANAGING MEMBER THE EDELMAN FINANCIAL ENGINES CENTER, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS IV, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS II, INC. MANAGING MEMBER EDELMAN FINANCIAL ENGINES INVESTMENTS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC. indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER direct 2012-12-01
SOF MANAGEMENT, LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC SOLE STOCKHOLDER EDELMAN FINANCIAL ENGINES HOLDINGS II, INC. 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES, L.P. MEMBER OF FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC EDELMAN FINANCIAL ENGINES HOLDINGS I, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF SUMMER HOLDINGS 1, LLC indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF EDELMAN FINANCIAL HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2012-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2012-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL ENGINES INVESTMENTS, LLC MEMBER EDELMAN FINANCIAL ENGINES HOLDINGS III, LLC 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CHARLOTTE CAPITAL, LLC SHAREHOLDER direct 2004-04-01
SMH GROUP INVESTMENT ADVISORS INC. PARENT COMPANY/SHAREHOLDER direct 2005-12-01
EDELMAN FINANCIAL ADVISORS LLC MAJORITY OWNER direct 2006-12-01
IPRO ONE MANAGEMENT, INC. SHAREHOLDER indirect 2007-09-01
POOL CAPITAL PARTNERS LLC MEMBER direct 2009-10-01
CUMMER MOYERS CAPITAL ADVISORS INC SHAREHOLDER direct 2000-10-01 2001-05-15
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MEMBER direct 2004-12-01 2005-04-19
MYVEST CORPORATION SHAREHOLDER indirect 1987-07-01 2005-07-05
MYVEST CORPORATION SHAREHOLDER direct 2004-09-01 2005-07-05
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC direct 2005-05-01 2005-07-25
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC indirect 2005-05-01 2005-08-10
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL ADVISORS, INC. indirect 2000-10-01 2007-03-27
GHE ADVISERS, L.P. SHAREHOLDER indirect 2006-08-01 2008-02-27
SALIENT ADVISORS, L.P. LIMITED PARTNER indirect 2003-05-01 2008-03-05
SALIENT ADVISORS, L.P. MEMBER indirect 2003-05-01 2008-03-05
LEONETTI & ASSOCIATES, LLC SHAREHOLDER direct 2008-03-01 2008-03-19
ENDOWMENT ADVISERS, L.P. CLASS A AND CLASS B LIMITED PARTNER direct 2004-12-01 2008-06-24
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2005-05-01 2009-01-02
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-02-06
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-04-02
EDELMAN FINANCIAL ADVISORS LLC MINORITY OWNER direct 2006-12-01 2009-05-14
ASTOR ASSET MANAGEMENT, L.L.C. PARTNER direct 2005-01-01 2009-11-17
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2011-04-08
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2012-03-30
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2007-05-01 2012-06-21
SOF MANAGEMENT, LLC PARENT indirect 1999-12-01 2012-09-26
EDELMAN FINANCIAL SERVICES LLC PARENT indirect 2007-05-01 2013-02-11
GFS ADVISORS LLC OWNER direct 2010-12-01 2014-03-28
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS indirect 2007-05-01 2014-08-29
THE RIKOON GROUP, LLC MEMBER direct 2007-05-01 2014-09-04
SMH CAPITAL ADVISORS, INC. PARENT COMPANY/SHAREHOLDER direct 2000-10-01 2014-09-10
GFS ADVISORS LLC OWNER direct 2014-07-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MEMBER direct 2008-03-01 2015-02-04
LEONETTI & ASSOCIATES, LLC SOLE MEMBER indirect 2014-10-01 2015-03-23
SANDERS MORRIS HARRIS INC. PARENT COMPANY direct 2000-02-01 2015-03-31
MILLER-GREEN FINANCIAL SERVICES, INC OWNER direct 2008-04-01 2015-03-31
THE RIKOON GROUP, LLC SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-07-13
SMH CAPITAL ADVISORS, INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
SANDERS MORRIS HARRIS INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC SOLE MEMBER indirect 2014-10-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2007-05-01 2015-10-26
H&F FLIGHT GP, LLC GENERAL PARTNER EDELMAN FINANCIAL ENGINES, L.P. 07/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-12-01

FINANCIAL ENGINES ADVISORS L.L.C.

ownership team - last updated 2018-11-01
Name Title Start Date Direct/Indirect % Ownership
EDELMAN FINANCIAL ENGINES, LLC MEMBER MANAGER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC PARENT direct 1997-12-01
EADVISOR SHAREHOLDER direct 2000-10-01
TMFS ADVISORS, LLC MEMBER indirect 2016-02-01
SMART401K, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC MEMBER indirect 2016-02-01
TMFS ADVISORY SERVICES, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND STORE-HOUSTON, LLC MEMBER indirect 2016-02-01
FINANCIAL ENGINES ADVISORS LLC MEMBER direct 1997-12-01 2005-09-23
JONES, CHRISTOPHER, LEIGH CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2006-01-01
RAFFONE, LAWRENCE, MICHAEL CEO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2012-11-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER & CEO direct 2015-01-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER, CEO & PRESIDENT direct 2015-01-01
BUNCH, JOHN, BRADLEY PRESIDENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TMFS ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORS, LLC PRESIDENT direct 2016-01-01
FINANCIAL ENGINES ADVISOR CENTER, LLC PRESIDENT direct 2016-02-01
THINKORSWIM ADVISORS, INC. DIRECTOR direct 2009-06-01
AMERIVEST INVESTMENT MANAGEMENT, LLC BOARD OF MANAGERS MEMBER direct 2008-10-01
AMERIVEST INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2008-10-01
THE MUTUAL FUND STORE-ST. LOUIS, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
SMART401K, LLC PRESIDENT direct 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC PRESIDENT direct 2016-02-01
THE MUTUAL FUND STORE-SYRACUSE, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-DETROIT, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-DENVER, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-OMAHA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE - INDIANA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-FLORIDA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-PORTLAND, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-NEW YORK, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORY SERVICES, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORY SERVICES, LLC PRESIDENT direct 2016-02-01
RED OPTION ADVISORS, INC. DIRECTOR direct 2010-03-01
THE MUTUAL FUND STORE - LOUISVILLE, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-LOUISIANA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-GEORGIA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-OHIO, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE - HOUSTON, LLC CHIEF EXECUTIVE OFFICER direct 2012-10-01
THE MUTUAL FUND STORE-HOUSTON, LLC PRESIDENT direct 2016-02-01
CHARLES SCHWAB & CO., INC. SENIOR VICE PRESIDENT - CLIENT SALES AND SERVICE direct 2003-08-01
TD AMERITRADE, INC. EVP, BRANCH DISTRIBUTION - BD direct 2006-04-01
TD WATERHOUSE INVESTOR SERVICES, INC. EVP, BRANCH DISTRIBUTION direct 2006-04-01
TD AMERITRADE, INC. PRESIDENT, DIRECTOR direct 2008-10-01
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2016-02-01
ANTONE, LEWIS, EMERSON EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL direct 2016-03-01
O'DONNELL, KELLY, SUSAN EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, BUSINESS OPERATIONS & CORPORATE STRATEGY, CRO direct 2016-05-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER direct 2017-02-01
ROBBINS, JONATHAN, DAVID CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2017-12-01
THE FINANCIAL ENGINES EDELMAN CENTER, LLC MANAGING MEMBER EDELMAN FINANCIAL ENGINES, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP,LLC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY OF EFS LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER OF EDELMAN FINANCIAL SERVICES, LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY & SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
FINANCIAL ENGINES EDELMAN HOLDINGS IV, LLC MANAGING MEMBER THE FINANCIAL ENGINES EDELMAN CENTER, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
FINANCIAL ENGINES EDELMAN HOLDINGS III, LLC MANAGING MEMBER FINANCIAL ENGINES EDELMAN HOLDINGS IV, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC MANAGING MEMBER FINANCIAL ENGINES EDELMAN HOLDINGS III, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
FINANCIAL ENGINES EDELMAN HOLDINGS II, INC. MANAGING MEMBER FINANCIAL ENGINES EDELMAN INVESTMENTS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC. indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER OF PINNACLE SUMMER INVESTMENTS, INC indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER direct 2012-12-01
SOF MANAGEMENT, LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-09-01
FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC SOLE STOCKHOLDER FINANCIAL ENGINES EDELMAN HOLDINGS II, INC. 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 2012-03-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER OF SUMMER HOLDINGS II, INC.. indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF SUMMER HOLDINGS II, INC. indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER/COMMON UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/COMMON UNITS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2015-12-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC SHAREHOLDER direct 2012-03-01
GFS ADVISORS LLC SHAREHOLDER indirect 2012-03-01
GFS ADVISORS LLC MEMBER direct 2012-03-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MEMBER direct 2012-09-01
EDELMAN FINANCIAL ENGINES, L.P. MEMBER OF FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC FINANCIAL ENGINES EDELMAN HOLDINGS I, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2012-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF SUMMER HOLDINGS 1, LLC indirect 2012-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF EDELMAN FINANCIAL HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER OF SUMMER HOLDINGS I, LLC indirect 2012-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2012-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2012-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2012-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2012-03-01
FINANCIAL ENGINES EDELMAN INVESTMENTS, LLC MEMBER FINANCIAL ENGINES EDELMAN HOLDINGS III, LLC 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CHARLOTTE CAPITAL, LLC SHAREHOLDER direct 2004-04-01
SMH GROUP INVESTMENT ADVISORS INC. PARENT COMPANY/SHAREHOLDER direct 2005-12-01
EDELMAN FINANCIAL ADVISORS LLC MAJORITY OWNER direct 2006-12-01
IPRO ONE MANAGEMENT, INC. SHAREHOLDER indirect 2007-09-01
POOL CAPITAL PARTNERS LLC MEMBER direct 2009-10-01
CUMMER MOYERS CAPITAL ADVISORS INC SHAREHOLDER direct 2000-10-01 2001-05-15
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
SALIENT ADVISORS, L.P. PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MEMBER direct 2004-12-01 2005-04-19
MYVEST CORPORATION SHAREHOLDER indirect 1987-07-01 2005-07-05
MYVEST CORPORATION SHAREHOLDER direct 2004-09-01 2005-07-05
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC direct 2005-05-01 2005-07-25
EDELMAN FINANCIAL SERVICES LLC HOLDING COMPANY/MAJORITY OWNER OF EFC LLC indirect 2005-05-01 2005-08-10
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL ADVISORS, INC. indirect 2000-10-01 2007-03-27
GHE ADVISERS, L.P. SHAREHOLDER indirect 2006-08-01 2008-02-27
SALIENT ADVISORS, L.P. LIMITED PARTNER indirect 2003-05-01 2008-03-05
SALIENT ADVISORS, L.P. MEMBER indirect 2003-05-01 2008-03-05
LEONETTI & ASSOCIATES, LLC SHAREHOLDER direct 2008-03-01 2008-03-19
ENDOWMENT ADVISERS, L.P. CLASS A AND CLASS B LIMITED PARTNER direct 2004-12-01 2008-06-24
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2005-05-01 2009-01-02
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-02-06
POOL CAPITAL PARTNERS LLC PARENT CORPORATION OF SMH CAPITAL INC. indirect 2000-10-01 2009-04-02
EDELMAN FINANCIAL ADVISORS LLC MINORITY OWNER direct 2006-12-01 2009-05-14
ASTOR ASSET MANAGEMENT, L.L.C. PARTNER direct 2005-01-01 2009-11-17
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2011-04-08
SILVERBAY CAPITAL MANAGEMENT LLC PARENT COMPANY indirect 2000-02-01 2012-03-30
EDELMAN FINANCIAL SERVICES LLC MAJORITY OWNER indirect 2007-05-01 2012-06-21
SOF MANAGEMENT, LLC PARENT indirect 1999-12-01 2012-09-26
EDELMAN FINANCIAL SERVICES LLC PARENT indirect 2007-05-01 2013-02-11
GFS ADVISORS LLC OWNER direct 2010-12-01 2014-03-28
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS indirect 2007-05-01 2014-08-29
THE RIKOON GROUP, LLC MEMBER direct 2007-05-01 2014-09-04
SMH CAPITAL ADVISORS, INC. PARENT COMPANY/SHAREHOLDER direct 2000-10-01 2014-09-10
GFS ADVISORS LLC OWNER direct 2014-07-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MEMBER direct 2008-03-01 2015-02-04
LEONETTI & ASSOCIATES, LLC SOLE MEMBER indirect 2014-10-01 2015-03-23
SANDERS MORRIS HARRIS INC. PARENT COMPANY direct 2000-02-01 2015-03-31
MILLER-GREEN FINANCIAL SERVICES, INC OWNER direct 2008-04-01 2015-03-31
THE RIKOON GROUP, LLC SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-07-13
SMH CAPITAL ADVISORS, INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
SANDERS MORRIS HARRIS INC. SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC indirect 2014-10-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC SOLE MEMBER indirect 2014-10-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MEMBER/PREFERRED UNITS OF THE EDELMAN FINANCIAL CENTER, LLC indirect 2007-05-01 2015-10-26
H&F FLIGHT GP, LLC GENERAL PARTNER EDELMAN FINANCIAL ENGINES, L.P. 07/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-12-01

FINANCIAL ENGINES ADVISORS L.L.C.

ownership team - last updated 2017-09-26
Name Title Start Date Direct/Indirect % Ownership
FOSTER, CRAIG, LYNN EXECUTIVE VICE PRESIDENT & CFO 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT & CFO direct 2017-09-01
O'DONNELL, KELLY, SUSAN EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, BUSINESS OPERATIONS & CORPORATE STRATEGY, CRO direct 2016-05-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, AND CHIEF ADMINISTRATIVE OFFICER AND CHIEF RISK OFFICER direct 2017-02-01
ANTONE, LEWIS, EMERSON EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS LLC ACTING CHIEF COMPLIANCE OFFICER direct 2008-08-01
FINANCIAL ENGINES ADVISORS L.L.C. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL direct 2016-03-01
BUNCH, JOHN, BRADLEY PRESIDENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TMFS ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORS, LLC PRESIDENT direct 2016-01-01
FINANCIAL ENGINES ADVISOR CENTER, LLC PRESIDENT direct 2016-02-01
THINKORSWIM ADVISORS, INC. DIRECTOR direct 2009-06-01
AMERIVEST INVESTMENT MANAGEMENT, LLC BOARD OF MANAGERS MEMBER direct 2008-10-01
AMERIVEST INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2008-10-01
THE MUTUAL FUND STORE-ST. LOUIS, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
SMART401K, LLC PRESIDENT direct 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC PRESIDENT direct 2016-02-01
THE MUTUAL FUND STORE-SYRACUSE, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-DETROIT, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-DENVER, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-OMAHA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE - INDIANA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-FLORIDA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-PORTLAND, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-NEW YORK, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORY SERVICES, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
TMFS ADVISORY SERVICES, LLC PRESIDENT direct 2016-02-01
RED OPTION ADVISORS, INC. DIRECTOR direct 2010-03-01
THE MUTUAL FUND STORE - LOUISVILLE, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-LOUISIANA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-GEORGIA, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE-OHIO, LLC CHIEF EXECUTIVE OFFICER direct 2012-02-01
THE MUTUAL FUND STORE - HOUSTON, LLC CHIEF EXECUTIVE OFFICER direct 2012-10-01
THE MUTUAL FUND STORE-HOUSTON, LLC PRESIDENT direct 2016-02-01
CHARLES SCHWAB & CO., INC. SENIOR VICE PRESIDENT - CLIENT SALES AND SERVICE direct 2003-08-01
TD AMERITRADE, INC. EVP, BRANCH DISTRIBUTION - BD direct 2006-04-01
TD WATERHOUSE INVESTOR SERVICES, INC. EVP, BRANCH DISTRIBUTION direct 2006-04-01
TD AMERITRADE, INC. PRESIDENT, DIRECTOR direct 2008-10-01
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2016-02-01
BUCK, DEXTER, SAGE CHIEF COMPLIANCE OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
GE FINANCIAL TRUST COMPANY CHIEF COMPLIANCE OFFICER direct 2003-01-01
FINANCIAL ENGINES ADVISORS L.L.C. CHIEF COMPLIANCE OFFICER direct 2013-06-01
SMART401K, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
E*TRADE ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2000-07-01 2001-05-02
GE PRIVATE ASSET MANAGEMENT,INC. CHIEF COMPLIANCE OFFICER direct 2003-01-01 2004-04-01
PIPER JAFFRAY INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-08-01 2013-01-14
RAFFONE, LAWRENCE, MICHAEL MANAGER & CEO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS L.L.C. PRESIDENT direct 2012-11-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER & CEO direct 2015-01-01
FINANCIAL ENGINES ADVISORS L.L.C. MANAGER, CEO & PRESIDENT direct 2015-01-01
JONES, CHRISTOPHER, LEIGH CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2006-01-01
GRUNDFEST, JOSEPH, ALEXANDER MANAGER 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC MANAGER direct 1997-12-01
FINANCIAL ENGINES, INC. PARENT 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC PARENT direct 1997-12-01
EADVISOR SHAREHOLDER direct 2000-10-01
TMFS ADVISORS, LLC MEMBER indirect 2016-02-01
SMART401K, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND RESEARCH CENTER, LLC MEMBER indirect 2016-02-01
TMFS ADVISORY SERVICES, LLC MEMBER indirect 2016-02-01
THE MUTUAL FUND STORE-HOUSTON, LLC MEMBER indirect 2016-02-01
FINANCIAL ENGINES ADVISORS LLC MEMBER direct 1997-12-01 2005-09-23

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