FIRST QUADRANT L P

HTTPS://FIRSTQUADRANT.COM/ PASADENA, CA Investment Advisor Hedge Fund How do I update this listing?

First Quadrant L P is based out of Pasadena. First Quadrant L P is a hedge fund with 34 clients and discretionary assets under management (AUM) of $15,931,164,000 (Form ADV from 2020-04-23). Their last reported 13F filing for Q2 2020 included $745,448,000 in managed 13F securities and a top 10 holdings concentration of 25.84%. First Quadrant L P's largest holding is Microsoft Corp. with shares held of 214,072. First Quadrant L P has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 82 13F filings

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06/30/2020

13F Activity

  • Market Value $745.448 Million
  • Prior Market Value $687.091 Million
  • New Purchases241 stocks
  • Additional Purchases136 stocks
  • Sold out of175 stocks
  • Reduced holdings in237 stocks
  • Top 10 Holdings % 25.84 %
  • Turnover % [1]:59.26%
  • Turnover Alt % [2]: 32.00 %
  • Time Held Top20:8.65 quarters
  • Time Held Top10:9.80 quarters
  • Time Held All:18.14 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 18.87%
Performance Last 4 Quarters: -2.43%
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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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
AFFILIATED MANAGERS GROUP, INC.
AMG Funds LLC

View Last Form Adv Compilation Report on Record

FIRST QUADRANT
Classified as Hedge Fund
800 EAST COLORADO BLVD SUITE 900
PASADENA CA    91101
Country: United States

Business Phone: 626-795-8220
Fax: 626-396-3298
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 68
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 1,330,870,000
Total Number of Clients: 34
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.E (2)
Data above was derived from SEC filings.

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FIRST QUADRANT LP

ownership team - last updated 2020-04-23
Name Title Start Date Direct/Indirect % Ownership
AMG CA HOLDINGS CORP. GENERAL PARTNER 03/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
FQN MANAGEMENT LLC GENERAL PARTNER indirect 1995-12-01
FIRST QUADRANT LP GENERAL PARTNER direct 1996-03-01
IVORY INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2015-10-01
IVORY INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2015-10-01
FIRST QUADRANT LP GENERAL PARTNER direct 1995-12-01 2015-03-30
DARNELL, RONNIE, MAX PARTNER, CHAIRMAN 09/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER direct 2003-02-01
FQN MANAGEMENT LLC PRESIDENT, DIRECTOR direct 2004-04-01
FIRST QUADRANT LP DIRECTOR OF RESEARCH, LIMITED PARTNER direct 1991-04-01 2002-04-19
RESEARCH AFFILIATES, LLC DIRECTOR OF RESEARCH, LIMITED PARTNER indirect 1991-04-01 2004-02-06
FQN MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01 2006-04-04
FIRST QUADRANT LP CHIEF INVESTMENT OFFICER, LIMITED PARTNER direct 2003-02-01 2014-12-26
BROUWER, JOEL, LANE PARTNER, CHIEF FINANCIAL OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF FINANCIAL OFFICER direct 2004-01-01
FIRST QUADRANT LP PARTNER, CHIEF FINANCIAL OFFICER direct 2004-01-01
FIRST QUADRANT LP CHIEF FINANCIAL OFFICER, DIRECTOR direct 2004-01-01
LEVANONI, DORI, SAMUEL PARTNER, INVESTMENTS 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP DIRECTOR - RESEARCH direct 2003-02-01
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL DERIVATIVES, LIMITED PARTNER direct 2006-01-01
FIRST QUADRANT LP CO-DIRECTOR OF RESEARCH AND PORTFOLIO MANAGEMENT, LIMITED PARTNER direct 2007-10-01
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL MACRO, LIMITED PARTNER direct 2008-03-01
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2008-03-01
YE, JIA PARTNER,CO-CHIEF INVESTMENT OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2008-04-01
FIRST QUADRANT LP DIRECTOR - EQUITY RESEARCH direct 2000-02-01 2002-01-09
FIRST QUADRANT LP DIRECTOR - RESEARCH direct 2000-02-01 2004-05-04
FIRST QUADRANT LP CHIEF INVESTMENT STRATEGIST, LIMITED PARTNER direct 2008-01-01 2008-11-18
FIRST QUADRANT LP CHIEF INVESTMENT STRATEGIST AND DIRECTOR OF TRADING, LIMITED PARTNER direct 2008-04-01 2014-12-26
PETERS, EDGAR, EUGENE PARTNER, INVESTMENTS 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2010-06-01
PANAGORA ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 1990-01-01 2008-03-31
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL MACRO, LIMITED PARTNER direct 2010-06-01 2014-12-26
CHANG, JEFF, CHENGHSUN CHIEF COMPLIANCE OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF COMPLIANCE OFFICER direct 2013-01-01
Ladekarl, Jeppe, Furbo PARTNER,CO-CHIEF INVESTMENT OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER,CO-CHIEF INVESTMENT OFFICER direct 2019-09-01
AMG CA HOLDINGS, LLC SERIES A SHAREHOLDER AMG CA HOLDINGS CORP. 09/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
IVORY INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2002-09-01
FIRST QUADRANT LP SERIES A SHAREHOLDER indirect 2002-09-01
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
FIRST QUADRANT LP SOLE SHAREHOLDER indirect 2002-09-01 2015-03-30
AFFILIATED MANAGERS GROUP, INC. SOLE MANAGING MEMBER AMG CA HOLDINGS, LLC 09/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARTWELL J M LTD PARTNERSHIP SOLE MEMBER indirect 1994-05-01
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
BURRIDGE GROUP LLC OWNER indirect 1996-12-01
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER indirect 1999-01-01
THE MANAGERS FUNDS LLC CORPORATE PARENT indirect 1999-04-01
MANAGERS INVESTMENT GROUP LLC SOLE SHAREHOLDER indirect 1999-04-01
ASTON ASSET MANAGEMENT, LP SOLE SHAREHOLDER indirect 1999-04-01
FRONTIER PERFORMANCE ADVISERS LP MANAGING MEMBER OF THE GENERAL PARTNER indirect 2000-01-01
GIML, LLP SHAREHOLDER indirect 2000-12-01
GENESIS FUND MANAGERS, LLP SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CAPITAL MANAGEMENT L.P. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS LIMITED SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CLO MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN FUJI MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
PANTHEON VENTURES (US) LP CORPORATE PARENT indirect 2000-12-01
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2000-12-01
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS GP LIMITED SHAREHOLDER indirect 2000-12-01
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01
IVORY INVESTMENT MANAGEMENT, L.P. MEMBER AND MANAGER indirect 2002-09-01
FIRST QUADRANT LP SOLE MANAGING MEMBER indirect 2002-09-01
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2004-06-01
TIMESSQUARE CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER indirect 2005-06-01
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER - SERIES A indirect 2005-06-01
MONTRUSCO BOLTON INVESTMENTS, INC. SHAREHOLDER indirect 2005-07-01
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER MEMBER direct 2008-10-01
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 2009-07-01
HARDING LOEVNER LLC OWNER indirect 2009-08-01
ASTON ASSET MANAGEMENT LLC GENERAL PARTNER direct 2010-04-01
ASTON ASSET MANAGEMENT LLC SHAREHOLDER indirect 2010-04-01
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01
TRILOGY GLOBAL ADVISORS, LP MANAGING MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01
THE RENAISSANCE GROUP LLC MANAGER MEMBER direct 2011-01-01
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01
VERITABLE LP PARTNER indirect 2011-03-01
CLARFELD FINANCIAL ADVISORS INC PARTNER indirect 2011-03-01
WELCH & FORBES LLC SERIES A MEMBER AND MANAGER indirect 2011-03-01
BAKER STREET ADVISORS, LLC GENERAL PARTNER indirect 2011-03-01
MYCIO WEALTH PARTNERS, LLC GENERAL PARTNER indirect 2011-03-01
WP GROUP, LLC GENERAL PARTNER indirect 2011-03-01
YACKTMAN ASSET MANAGEMENT LP LIMITED PARTNER direct 2012-06-01
TWEEDY, BROWNE COMPANY LLC MANAGING MEMBER indirect 2012-12-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER direct 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER indirect 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER direct 2014-06-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2014-06-01
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2014-06-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01
YACKTMAN ASSET MANAGEMENT LP MANAGER AND SOLE MEMBER indirect 2014-10-01
VERITAS ASSET MANAGEMENT LLP ULTIMATE PARENT COMPANY indirect 2014-10-01
IVORY INVESTMENT MANAGEMENT, L.P. PARTNER indirect 2015-10-01
CAPEVIEW CAPITAL LLP MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT MANAGEMENT GENERAL PARTNER direct 1995-11-01 2001-04-24
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1994-05-01 2001-09-26
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1995-10-01 2002-03-25
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C MEMBER direct 1995-03-01 2002-06-10
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01 2002-08-13
GEOCAPITAL LLC SOLE STOCKHOLDER OF GCC indirect 1997-09-01 2003-05-29
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
PW REDWOOD SEQUOIA MANAGEMENT LLC OWNER indirect 2000-01-01 2004-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC direct 1998-12-01 2004-03-31
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2000-12-01 2004-09-03
SKYLINE ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 1995-08-01 2005-03-24
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER OF GENERAL PARTNER direct 1995-10-01 2005-03-29
WELCH & FORBES LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2005-03-31
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2005-05-24
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2006-03-27
GOFEN AND GLOSSBERG, L.L.C. MANAGER MEMBER direct 1997-05-01 2006-03-29
GEOCAPITAL LLC MANAGER MEMBER direct 1997-09-01 2006-04-04
GEOCAPITAL LLC SOLE STOCKHOLDER OF AMG CAPITAL indirect 1997-09-01 2006-04-04
CHICAGO EQUITY PARTNERS LLC MEMBER direct 2006-12-01 2007-01-03
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01 2007-03-23
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2007-03-28
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC indirect 1998-12-01 2008-03-28
SKYLINE ASSET MANAGEMENT, L.P. SPECIAL LIMITED PARTNER direct 2005-10-01 2008-03-28
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2009-02-19
GOFEN AND GLOSSBERG, L.L.C. NON-MANAGER MEMBER indirect 1997-05-01 2009-03-23
GANNETT WELSH & KOTLER, LLC DIRECT OWNER direct 2008-09-01 2009-03-31
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 1994-05-01 2010-03-24
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF AMG/TBC indirect 1998-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
SYSTEMATIC FINANCIAL MANAGEMENT LP GENERAL PARTNER direct 1995-05-01 2010-08-06
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2010-10-05
WELCH & FORBES LLC MEMBER direct 2001-11-01 2010-10-05
RENAISSANCE INVESTMENT MANAGEMENT LLC MEMBER direct 1995-11-01 2010-10-11
TRILOGY GLOBAL ADVISORS, LLC GENERAL PARTNER direct 2010-12-01 2010-12-22
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2011-03-31
FFT WEALTH MANAGEMENT LLC EQUITY HOLDER OF AMG NEW YORK HOLDINGS CORP indirect 2002-05-01 2011-03-31
ESSEX INVESTMENT MANAGEMENT CO LLC MANAGING MEMBER direct 1998-03-01 2011-05-03
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01 2012-01-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2012-03-16
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC MANAGER MEMBER indirect 2010-12-01 2012-03-30
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2012-04-17
WELCH & FORBES LLC SOLE MEMBER indirect 2010-12-01 2013-03-27
FRIESS ASSOCIATES, LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
FRIESS ASSOCIATES OF DELAWARE,LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
TRILOGY GLOBAL ADVISORS, LLC MANAGER MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01 2013-05-01
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2013-07-08
GANNETT WELSH & KOTLER, LLC MANAGING MEMBER direct 2008-10-01 2014-03-14
GANNETT WELSH & KOTLER, LLC SHAREHOLDER indirect 2008-10-01 2014-03-14
TWEEDY, BROWNE COMPANY LLC AUTHORIZED PERSON OF MANAGING MEMBER indirect 2012-12-01 2014-03-25
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2014-03-27
WELCH & FORBES LLC SERIES A MEMBER AND AUTHORIZED PERSON indirect 2011-03-01 2014-03-27
MANAGERS INVESTMENT GROUP LLC CORPORATE PARENT indirect 1999-04-01 2014-03-31
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2014-03-31
ASTON ASSET MANAGEMENT, LP GENERAL PARTNER direct 2010-04-01 2014-03-31
ASTON ASSET MANAGEMENT, LP MANAGING MEMBER indirect 2010-04-01 2014-03-31
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2013-12-01 2014-04-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER indirect 1997-10-01 2014-12-01
YACKTMAN ASSET MANAGEMENT LP MEMBER indirect 2012-06-01 2015-01-05
FIRST QUADRANT LP SOLE MEMBER AND MANAGER indirect 2002-09-01 2015-03-30
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2015-03-30
GANNETT WELSH & KOTLER, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2015-03-30
BAKER STREET ADVISORS, LLC PARTNER indirect 2011-03-01 2015-04-07
LATTICE STRATEGIES LLC SOLE MEMBER indirect 2011-12-01 2015-05-05
LATTICE STRATEGIES LLC MEMBER direct 2012-02-01 2015-05-05
GANNETT WELSH & KOTLER, LLC MANAGER direct 2008-10-01 2016-03-21
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2016-03-21
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2016-03-29
PANTHEON VENTURES (US) LLP CORPORATE PARENT indirect 2010-02-01 2016-06-13
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2010-06-01 2016-06-13
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01 2016-07-11
FFT WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2011-03-01 2017-04-19

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EP FQ LTD. British Virgin Islands 805-1812989931 Hedge Fund 54,669,000 100,000
FIRST QUADRANT SB I, L.P. United States 805-8520461285 Hedge Fund 2,564,000 10,000
FQ ESSENTIAL BETA FUND LTD. Cayman Islands 805-5360788194 Hedge Fund 1,142,513,000 1,000,000
FQ GLOBAL DIVERSIFIED MACRO MASTER FUND, L.P. Cayman Islands 805-2373058974 Hedge Fund 1,972,000 5,000,000 Master Fund

FIRST QUADRANT LP

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EP FQ LTD. British Virgin Islands 805-1812989931 Hedge Fund 54,669,000 100,000
FIRST QUADRANT SB I, L.P. United States 805-8520461285 Hedge Fund 2,564,000 10,000
FQ ESSENTIAL BETA FUND LTD. Cayman Islands 805-5360788194 Hedge Fund 1,142,513,000 1,000,000

FIRST QUADRANT LP

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
AMG CA HOLDINGS CORP. GENERAL PARTNER 03/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
FQN MANAGEMENT LLC GENERAL PARTNER indirect 1995-12-01
FIRST QUADRANT LP GENERAL PARTNER direct 1996-03-01
IVORY INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2015-10-01
IVORY INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2015-10-01
FIRST QUADRANT LP GENERAL PARTNER direct 1995-12-01 2015-03-30
DARNELL, RONNIE, MAX CHIEF INVESTMENT OFFICER, MANAGING PARTNER 02/01/2003 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER direct 2003-02-01
FQN MANAGEMENT LLC PRESIDENT, DIRECTOR direct 2004-04-01
FIRST QUADRANT LP DIRECTOR OF RESEARCH, LIMITED PARTNER direct 1991-04-01 2002-04-19
RESEARCH AFFILIATES, LLC DIRECTOR OF RESEARCH, LIMITED PARTNER indirect 1991-04-01 2004-02-06
FQN MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01 2006-04-04
FIRST QUADRANT LP CHIEF INVESTMENT OFFICER, LIMITED PARTNER direct 2003-02-01 2014-12-26
BROUWER, JOEL, LANE PARTNER, CHIEF FINANCIAL OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF FINANCIAL OFFICER direct 2004-01-01
FIRST QUADRANT LP PARTNER, CHIEF FINANCIAL OFFICER direct 2004-01-01
FIRST QUADRANT LP CHIEF FINANCIAL OFFICER, DIRECTOR direct 2004-01-01
LEVANONI, DORI, SAMUEL PARTNER, INVESTMENTS 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP DIRECTOR - RESEARCH direct 2003-02-01
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL DERIVATIVES, LIMITED PARTNER direct 2006-01-01
FIRST QUADRANT LP CO-DIRECTOR OF RESEARCH AND PORTFOLIO MANAGEMENT, LIMITED PARTNER direct 2007-10-01
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL MACRO, LIMITED PARTNER direct 2008-03-01
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2008-03-01
YE, JIA PARTNER, INVESTMENTS 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2008-04-01
FIRST QUADRANT LP DIRECTOR - EQUITY RESEARCH direct 2000-02-01 2002-01-09
FIRST QUADRANT LP DIRECTOR - RESEARCH direct 2000-02-01 2004-05-04
FIRST QUADRANT LP CHIEF INVESTMENT STRATEGIST, LIMITED PARTNER direct 2008-01-01 2008-11-18
FIRST QUADRANT LP CHIEF INVESTMENT STRATEGIST AND DIRECTOR OF TRADING, LIMITED PARTNER direct 2008-04-01 2014-12-26
PETERS, EDGAR, EUGENE PARTNER, INVESTMENTS 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2010-06-01
PANAGORA ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 1990-01-01 2008-03-31
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL MACRO, LIMITED PARTNER direct 2010-06-01 2014-12-26
CHANG, JEFF, CHENGHSUN CHIEF COMPLIANCE OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF COMPLIANCE OFFICER direct 2013-01-01
PARK, EUGENE DIRECTOR, GENERAL COUNSEL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP DIRECTOR, GENERAL COUNSEL direct 2016-04-01
AMG CA HOLDINGS, LLC SERIES A SHAREHOLDER AMG CA HOLDINGS CORP. 09/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
IVORY INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2002-09-01
FIRST QUADRANT LP SERIES A SHAREHOLDER indirect 2002-09-01
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
FIRST QUADRANT LP SOLE SHAREHOLDER indirect 2002-09-01 2015-03-30
AFFILIATED MANAGERS GROUP, INC. SOLE MANAGING MEMBER AMG CA HOLDINGS, LLC 09/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARTWELL J M LTD PARTNERSHIP SOLE MEMBER indirect 1994-05-01
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
BURRIDGE GROUP LLC OWNER indirect 1996-12-01
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER indirect 1999-01-01
THE MANAGERS FUNDS LLC CORPORATE PARENT indirect 1999-04-01
MANAGERS INVESTMENT GROUP LLC SOLE SHAREHOLDER indirect 1999-04-01
ASTON ASSET MANAGEMENT, LP SOLE SHAREHOLDER indirect 1999-04-01
FRONTIER PERFORMANCE ADVISERS LP MANAGING MEMBER OF THE GENERAL PARTNER indirect 2000-01-01
GIML, LLP SHAREHOLDER indirect 2000-12-01
GENESIS FUND MANAGERS, LLP SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CAPITAL MANAGEMENT L.P. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS LIMITED SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CLO MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN FUJI MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
PANTHEON VENTURES (US) LP CORPORATE PARENT indirect 2000-12-01
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2000-12-01
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS GP LIMITED SHAREHOLDER indirect 2000-12-01
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01
IVORY INVESTMENT MANAGEMENT, L.P. MEMBER AND MANAGER indirect 2002-09-01
FIRST QUADRANT LP SOLE MANAGING MEMBER indirect 2002-09-01
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2004-06-01
TIMESSQUARE CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER indirect 2005-06-01
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER - SERIES A indirect 2005-06-01
MONTRUSCO BOLTON INVESTMENTS, INC. SHAREHOLDER indirect 2005-07-01
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER MEMBER direct 2008-10-01
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 2009-07-01
HARDING LOEVNER LLC OWNER indirect 2009-08-01
ASTON ASSET MANAGEMENT LLC GENERAL PARTNER direct 2010-04-01
ASTON ASSET MANAGEMENT LLC SHAREHOLDER indirect 2010-04-01
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01
TRILOGY GLOBAL ADVISORS, LP MANAGING MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01
THE RENAISSANCE GROUP LLC MANAGER MEMBER direct 2011-01-01
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01
VERITABLE LP PARTNER indirect 2011-03-01
CLARFELD FINANCIAL ADVISORS INC PARTNER indirect 2011-03-01
WELCH & FORBES LLC SERIES A MEMBER AND MANAGER indirect 2011-03-01
BAKER STREET ADVISORS, LLC GENERAL PARTNER indirect 2011-03-01
MYCIO WEALTH PARTNERS, LLC GENERAL PARTNER indirect 2011-03-01
WP GROUP, LLC GENERAL PARTNER indirect 2011-03-01
YACKTMAN ASSET MANAGEMENT LP LIMITED PARTNER direct 2012-06-01
TWEEDY, BROWNE COMPANY LLC MANAGING MEMBER indirect 2012-12-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER direct 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER indirect 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER direct 2014-06-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2014-06-01
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2014-06-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01
YACKTMAN ASSET MANAGEMENT LP MANAGER AND SOLE MEMBER indirect 2014-10-01
VERITAS ASSET MANAGEMENT LLP ULTIMATE PARENT COMPANY indirect 2014-10-01
IVORY INVESTMENT MANAGEMENT, L.P. PARTNER indirect 2015-10-01
CAPEVIEW CAPITAL LLP MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT MANAGEMENT GENERAL PARTNER direct 1995-11-01 2001-04-24
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1994-05-01 2001-09-26
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1995-10-01 2002-03-25
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C MEMBER direct 1995-03-01 2002-06-10
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01 2002-08-13
GEOCAPITAL LLC SOLE STOCKHOLDER OF GCC indirect 1997-09-01 2003-05-29
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
PW REDWOOD SEQUOIA MANAGEMENT LLC OWNER indirect 2000-01-01 2004-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC direct 1998-12-01 2004-03-31
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2000-12-01 2004-09-03
SKYLINE ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 1995-08-01 2005-03-24
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER OF GENERAL PARTNER direct 1995-10-01 2005-03-29
WELCH & FORBES LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2005-03-31
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2005-05-24
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2006-03-27
GOFEN AND GLOSSBERG, L.L.C. MANAGER MEMBER direct 1997-05-01 2006-03-29
GEOCAPITAL LLC MANAGER MEMBER direct 1997-09-01 2006-04-04
GEOCAPITAL LLC SOLE STOCKHOLDER OF AMG CAPITAL indirect 1997-09-01 2006-04-04
CHICAGO EQUITY PARTNERS LLC MEMBER direct 2006-12-01 2007-01-03
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01 2007-03-23
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2007-03-28
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC indirect 1998-12-01 2008-03-28
SKYLINE ASSET MANAGEMENT, L.P. SPECIAL LIMITED PARTNER direct 2005-10-01 2008-03-28
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2009-02-19
GOFEN AND GLOSSBERG, L.L.C. NON-MANAGER MEMBER indirect 1997-05-01 2009-03-23
GANNETT WELSH & KOTLER, LLC DIRECT OWNER direct 2008-09-01 2009-03-31
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 1994-05-01 2010-03-24
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF AMG/TBC indirect 1998-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
SYSTEMATIC FINANCIAL MANAGEMENT LP GENERAL PARTNER direct 1995-05-01 2010-08-06
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2010-10-05
WELCH & FORBES LLC MEMBER direct 2001-11-01 2010-10-05
RENAISSANCE INVESTMENT MANAGEMENT LLC MEMBER direct 1995-11-01 2010-10-11
TRILOGY GLOBAL ADVISORS, LLC GENERAL PARTNER direct 2010-12-01 2010-12-22
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2011-03-31
FFT WEALTH MANAGEMENT LLC EQUITY HOLDER OF AMG NEW YORK HOLDINGS CORP indirect 2002-05-01 2011-03-31
ESSEX INVESTMENT MANAGEMENT CO LLC MANAGING MEMBER direct 1998-03-01 2011-05-03
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01 2012-01-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2012-03-16
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC MANAGER MEMBER indirect 2010-12-01 2012-03-30
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2012-04-17
WELCH & FORBES LLC SOLE MEMBER indirect 2010-12-01 2013-03-27
FRIESS ASSOCIATES, LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
FRIESS ASSOCIATES OF DELAWARE,LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
TRILOGY GLOBAL ADVISORS, LLC MANAGER MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01 2013-05-01
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2013-07-08
GANNETT WELSH & KOTLER, LLC MANAGING MEMBER direct 2008-10-01 2014-03-14
GANNETT WELSH & KOTLER, LLC SHAREHOLDER indirect 2008-10-01 2014-03-14
TWEEDY, BROWNE COMPANY LLC AUTHORIZED PERSON OF MANAGING MEMBER indirect 2012-12-01 2014-03-25
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2014-03-27
WELCH & FORBES LLC SERIES A MEMBER AND AUTHORIZED PERSON indirect 2011-03-01 2014-03-27
MANAGERS INVESTMENT GROUP LLC CORPORATE PARENT indirect 1999-04-01 2014-03-31
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2014-03-31
ASTON ASSET MANAGEMENT, LP GENERAL PARTNER direct 2010-04-01 2014-03-31
ASTON ASSET MANAGEMENT, LP MANAGING MEMBER indirect 2010-04-01 2014-03-31
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2013-12-01 2014-04-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER indirect 1997-10-01 2014-12-01
YACKTMAN ASSET MANAGEMENT LP MEMBER indirect 2012-06-01 2015-01-05
FIRST QUADRANT LP SOLE MEMBER AND MANAGER indirect 2002-09-01 2015-03-30
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2015-03-30
GANNETT WELSH & KOTLER, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2015-03-30
BAKER STREET ADVISORS, LLC PARTNER indirect 2011-03-01 2015-04-07
LATTICE STRATEGIES LLC SOLE MEMBER indirect 2011-12-01 2015-05-05
LATTICE STRATEGIES LLC MEMBER direct 2012-02-01 2015-05-05
GANNETT WELSH & KOTLER, LLC MANAGER direct 2008-10-01 2016-03-21
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2016-03-21
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2016-03-29
PANTHEON VENTURES (US) LLP CORPORATE PARENT indirect 2010-02-01 2016-06-13
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2010-06-01 2016-06-13
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01 2016-07-11
FFT WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2011-03-01 2017-04-19

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
P FQ IE British Virgin Islands 805-1812989931 Hedge Fund 18,647,000 100,000
FQ MACRO MASTER FUND LTD. Cayman Islands 805-9306158599 Hedge Fund 174,663,000 1,000,000 Master Fund
FIRST QUADRANT SB I, L.P. United States 805-8520461285 Hedge Fund 3,389,000 10,000
FQ ESSENTIAL BETA FUND LTD. Cayman Islands 805-5360788194 Hedge Fund 1,104,204,000 1,000,000

FIRST QUADRANT LP

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
AMG CA HOLDINGS CORP. GENERAL PARTNER 03/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
FQN MANAGEMENT LLC GENERAL PARTNER indirect 1995-12-01
FIRST QUADRANT LP GENERAL PARTNER direct 1996-03-01
IVORY INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2015-10-01
IVORY INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2015-10-01
FIRST QUADRANT LP GENERAL PARTNER direct 1995-12-01 2015-03-30
DARNELL, RONNIE, MAX CHIEF INVESTMENT OFFICER, MANAGING PARTNER 02/01/2003 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER direct 2003-02-01
FQN MANAGEMENT LLC PRESIDENT, DIRECTOR direct 2004-04-01
FIRST QUADRANT LP DIRECTOR OF RESEARCH, LIMITED PARTNER direct 1991-04-01 2002-04-19
RESEARCH AFFILIATES, LLC DIRECTOR OF RESEARCH, LIMITED PARTNER indirect 1991-04-01 2004-02-06
FQN MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01 2006-04-04
FIRST QUADRANT LP CHIEF INVESTMENT OFFICER, LIMITED PARTNER direct 2003-02-01 2014-12-26
BROUWER, JOEL, LANE PARTNER, CHIEF FINANCIAL OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF FINANCIAL OFFICER direct 2004-01-01
FIRST QUADRANT LP PARTNER, CHIEF FINANCIAL OFFICER direct 2004-01-01
FIRST QUADRANT LP CHIEF FINANCIAL OFFICER, DIRECTOR direct 2004-01-01
LEVANONI, DORI, SAMUEL PARTNER, INVESTMENTS 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP DIRECTOR - RESEARCH direct 2003-02-01
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL DERIVATIVES, LIMITED PARTNER direct 2006-01-01
FIRST QUADRANT LP CO-DIRECTOR OF RESEARCH AND PORTFOLIO MANAGEMENT, LIMITED PARTNER direct 2007-10-01
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL MACRO, LIMITED PARTNER direct 2008-03-01
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2008-03-01
YE, JIA PARTNER, INVESTMENTS 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2008-04-01
FIRST QUADRANT LP DIRECTOR - EQUITY RESEARCH direct 2000-02-01 2002-01-09
FIRST QUADRANT LP DIRECTOR - RESEARCH direct 2000-02-01 2004-05-04
FIRST QUADRANT LP CHIEF INVESTMENT STRATEGIST, LIMITED PARTNER direct 2008-01-01 2008-11-18
FIRST QUADRANT LP CHIEF INVESTMENT STRATEGIST AND DIRECTOR OF TRADING, LIMITED PARTNER direct 2008-04-01 2014-12-26
PETERS, EDGAR, EUGENE PARTNER, INVESTMENTS 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP PARTNER, INVESTMENTS direct 2010-06-01
PANAGORA ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 1990-01-01 2008-03-31
FIRST QUADRANT LP CO-DIRECTOR OF GLOBAL MACRO, LIMITED PARTNER direct 2010-06-01 2014-12-26
CHANG, JEFF, CHENGHSUN CHIEF COMPLIANCE OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP CHIEF COMPLIANCE OFFICER direct 2013-01-01
TUFTS, JAMES, RUTLEDGE MANAGING DIRECTOR, CHIEF OPERATING OFFICER 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP MANAGING DIRECTOR, CHIEF OPERATING OFFICER direct 2013-09-01
MELLON CAPITAL MANAGEMENT CORPORATION EVP & CHIEF OPERATING OFFICER direct 1997-08-01 2001-12-10
MELLON CAPITAL MANAGEMENT CORPORATION EVP, CHIEF OPERATING OFFICER & ACTING CHIEF FINANCIAL OFFICER direct 1997-08-01 2006-02-07
MELLON CAPITAL MANAGEMENT CORPORATION EVP, CHIEF OPERATING OFFICER direct 1997-08-01 2007-08-31
MELLON CAPITAL MANAGEMENT CORPORATION EVP AND HEAD OF CLIENT SERVICE, SALES & MARKETING direct 2007-10-01 2011-02-24
FIRST QUADRANT LP DIRECTOR, CHIEF OPERATING OFFICER direct 2013-09-01 2014-12-26
PARK, EUGENE DIRECTOR, GENERAL COUNSEL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST QUADRANT LP DIRECTOR, GENERAL COUNSEL direct 2016-04-01
AMG CA HOLDINGS, LLC SERIES A SHAREHOLDER AMG CA HOLDINGS CORP. 09/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
IVORY INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2002-09-01
FIRST QUADRANT LP SERIES A SHAREHOLDER indirect 2002-09-01
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
FIRST QUADRANT LP SOLE SHAREHOLDER indirect 2002-09-01 2015-03-30
AFFILIATED MANAGERS GROUP, INC. SOLE MANAGING MEMBER AMG CA HOLDINGS, LLC 09/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARTWELL J M LTD PARTNERSHIP SOLE MEMBER indirect 1994-05-01
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
BURRIDGE GROUP LLC OWNER indirect 1996-12-01
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER indirect 1999-01-01
THE MANAGERS FUNDS LLC CORPORATE PARENT indirect 1999-04-01
MANAGERS INVESTMENT GROUP LLC SOLE SHAREHOLDER indirect 1999-04-01
ASTON ASSET MANAGEMENT, LP SOLE SHAREHOLDER indirect 1999-04-01
FRONTIER PERFORMANCE ADVISERS LP MANAGING MEMBER OF THE GENERAL PARTNER indirect 2000-01-01
GIML, LLP SHAREHOLDER indirect 2000-12-01
GENESIS FUND MANAGERS, LLP SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CAPITAL MANAGEMENT L.P. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS LIMITED SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CLO MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN FUJI MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
PANTHEON VENTURES (US) LP CORPORATE PARENT indirect 2000-12-01
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2000-12-01
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS GP LIMITED SHAREHOLDER indirect 2000-12-01
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01
IVORY INVESTMENT MANAGEMENT, L.P. MEMBER AND MANAGER indirect 2002-09-01
FIRST QUADRANT LP SOLE MANAGING MEMBER indirect 2002-09-01
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2004-06-01
TIMESSQUARE CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER indirect 2005-06-01
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER - SERIES A indirect 2005-06-01
MONTRUSCO BOLTON INVESTMENTS, INC. SHAREHOLDER indirect 2005-07-01
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER MEMBER direct 2008-10-01
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 2009-07-01
HARDING LOEVNER LLC OWNER indirect 2009-08-01
ASTON ASSET MANAGEMENT LLC GENERAL PARTNER direct 2010-04-01
ASTON ASSET MANAGEMENT LLC SHAREHOLDER indirect 2010-04-01
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01
TRILOGY GLOBAL ADVISORS, LP MANAGING MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01
THE RENAISSANCE GROUP LLC MANAGER MEMBER direct 2011-01-01
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01
VERITABLE LP PARTNER indirect 2011-03-01
CLARFELD FINANCIAL ADVISORS INC PARTNER indirect 2011-03-01
WELCH & FORBES LLC SERIES A MEMBER AND MANAGER indirect 2011-03-01
BAKER STREET ADVISORS, LLC GENERAL PARTNER indirect 2011-03-01
MYCIO WEALTH PARTNERS, LLC GENERAL PARTNER indirect 2011-03-01
WP GROUP, LLC GENERAL PARTNER indirect 2011-03-01
YACKTMAN ASSET MANAGEMENT LP LIMITED PARTNER direct 2012-06-01
TWEEDY, BROWNE COMPANY LLC MANAGING MEMBER indirect 2012-12-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER direct 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER indirect 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER direct 2014-06-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2014-06-01
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2014-06-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01
YACKTMAN ASSET MANAGEMENT LP MANAGER AND SOLE MEMBER indirect 2014-10-01
VERITAS ASSET MANAGEMENT LLP ULTIMATE PARENT COMPANY indirect 2014-10-01
IVORY INVESTMENT MANAGEMENT, L.P. PARTNER indirect 2015-10-01
CAPEVIEW CAPITAL LLP MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT MANAGEMENT GENERAL PARTNER direct 1995-11-01 2001-04-24
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1994-05-01 2001-09-26
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1995-10-01 2002-03-25
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C MEMBER direct 1995-03-01 2002-06-10
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01 2002-08-13
GEOCAPITAL LLC SOLE STOCKHOLDER OF GCC indirect 1997-09-01 2003-05-29
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
PW REDWOOD SEQUOIA MANAGEMENT LLC OWNER indirect 2000-01-01 2004-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC direct 1998-12-01 2004-03-31
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2000-12-01 2004-09-03
SKYLINE ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 1995-08-01 2005-03-24
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER OF GENERAL PARTNER direct 1995-10-01 2005-03-29
WELCH & FORBES LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2005-03-31
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2005-05-24
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2006-03-27
GOFEN AND GLOSSBERG, L.L.C. MANAGER MEMBER direct 1997-05-01 2006-03-29
GEOCAPITAL LLC MANAGER MEMBER direct 1997-09-01 2006-04-04
GEOCAPITAL LLC SOLE STOCKHOLDER OF AMG CAPITAL indirect 1997-09-01 2006-04-04
CHICAGO EQUITY PARTNERS LLC MEMBER direct 2006-12-01 2007-01-03
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01 2007-03-23
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2007-03-28
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC indirect 1998-12-01 2008-03-28
SKYLINE ASSET MANAGEMENT, L.P. SPECIAL LIMITED PARTNER direct 2005-10-01 2008-03-28
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2009-02-19
GOFEN AND GLOSSBERG, L.L.C. NON-MANAGER MEMBER indirect 1997-05-01 2009-03-23
GANNETT WELSH & KOTLER, LLC DIRECT OWNER direct 2008-09-01 2009-03-31
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 1994-05-01 2010-03-24
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF AMG/TBC indirect 1998-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
SYSTEMATIC FINANCIAL MANAGEMENT LP GENERAL PARTNER direct 1995-05-01 2010-08-06
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2010-10-05
WELCH & FORBES LLC MEMBER direct 2001-11-01 2010-10-05
RENAISSANCE INVESTMENT MANAGEMENT LLC MEMBER direct 1995-11-01 2010-10-11
TRILOGY GLOBAL ADVISORS, LLC GENERAL PARTNER direct 2010-12-01 2010-12-22
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2011-03-31
FFT WEALTH MANAGEMENT LLC EQUITY HOLDER OF AMG NEW YORK HOLDINGS CORP indirect 2002-05-01 2011-03-31
ESSEX INVESTMENT MANAGEMENT CO LLC MANAGING MEMBER direct 1998-03-01 2011-05-03
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01 2012-01-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2012-03-16
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC MANAGER MEMBER indirect 2010-12-01 2012-03-30
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2012-04-17
WELCH & FORBES LLC SOLE MEMBER indirect 2010-12-01 2013-03-27
FRIESS ASSOCIATES, LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
FRIESS ASSOCIATES OF DELAWARE,LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
TRILOGY GLOBAL ADVISORS, LLC MANAGER MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01 2013-05-01
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2013-07-08
GANNETT WELSH & KOTLER, LLC MANAGING MEMBER direct 2008-10-01 2014-03-14
GANNETT WELSH & KOTLER, LLC SHAREHOLDER indirect 2008-10-01 2014-03-14
TWEEDY, BROWNE COMPANY LLC AUTHORIZED PERSON OF MANAGING MEMBER indirect 2012-12-01 2014-03-25
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2014-03-27
WELCH & FORBES LLC SERIES A MEMBER AND AUTHORIZED PERSON indirect 2011-03-01 2014-03-27
MANAGERS INVESTMENT GROUP LLC CORPORATE PARENT indirect 1999-04-01 2014-03-31
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2014-03-31
ASTON ASSET MANAGEMENT, LP GENERAL PARTNER direct 2010-04-01 2014-03-31
ASTON ASSET MANAGEMENT, LP MANAGING MEMBER indirect 2010-04-01 2014-03-31
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2013-12-01 2014-04-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER indirect 1997-10-01 2014-12-01
YACKTMAN ASSET MANAGEMENT LP MEMBER indirect 2012-06-01 2015-01-05
FIRST QUADRANT LP SOLE MEMBER AND MANAGER indirect 2002-09-01 2015-03-30
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2015-03-30
GANNETT WELSH & KOTLER, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2015-03-30
BAKER STREET ADVISORS, LLC PARTNER indirect 2011-03-01 2015-04-07
LATTICE STRATEGIES LLC SOLE MEMBER indirect 2011-12-01 2015-05-05
LATTICE STRATEGIES LLC MEMBER direct 2012-02-01 2015-05-05
GANNETT WELSH & KOTLER, LLC MANAGER direct 2008-10-01 2016-03-21
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2016-03-21
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2016-03-29
PANTHEON VENTURES (US) LLP CORPORATE PARENT indirect 2010-02-01 2016-06-13
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2010-06-01 2016-06-13
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01 2016-07-11
FFT WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2011-03-01 2017-04-19

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FQ BALANCED RISK COMMODITY FUND LTD. Cayman Islands 805-2955951713 Hedge Fund 42,807,000 1,000,000
P FQ IE Ireland 805-1812989931 Hedge Fund 80,139,000 100,000
FQ MACRO MASTER FUND LTD. Cayman Islands 805-9306158599 Hedge Fund 157,298,000 1,000,000 Master Fund
FIRST QUADRANT SB I, L.P. United States 805-8520461285 Hedge Fund 2,139,000 10,000
FQ ESSENTIAL BETA FUND LTD. Cayman Islands 805-5360788194 Hedge Fund 1,386,213,000 1,000,000

WhaleScore history for FIRST QUADRANT L P

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