ADVISORS ASSET MANAGEMENT, INC.

https://www.linkedin.com/company/319332 • MONUMENT, CO • Investment Advisor How do I update this listing?

Advisors Asset Management is based out of Monument. Advisors Asset Management is a large advisory firm with 965 clients and discretionary assets under management (AUM) of $1,572,219,100 (Form ADV from 2020-01-23). Their last reported 13F filing for Q4 2019 included $11,298,228,000 in managed 13F securities and a top 10 holdings concentration of 44.07%. Advisors Asset Management's largest holding is Western Asset Inflation-Linked Opps & In with shares held of 278,806. Whalewisdom has at least 57 13F filings, and 280 13G filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $11.298 Billion
  • Prior Market Value $5.43 Billion
  • New Purchases63 stocks
  • Additional Purchases625 stocks
  • Sold out of77 stocks
  • Reduced holdings in825 stocks
  • Top 10 Holdings % 44.07 %
  • Turnover % [1]:9.00%
  • Turnover Alt % [2]: 4.14 %
  • Time Held Top20:6.75 quarters
  • Time Held Top10:1.60 quarters
  • Time Held All:25.07 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 2020-02-14

Performance for Q4 2019: 10.86%
Performance Last 4 Quarters: 28.56%
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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*Shares are split adjusted
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
BAHL GAYNOR INC
HARTFORD INVESTMENT MANAGEMENT CO
Phocas Financial Corp.
Vident Investment Advisory, LLC

View Last Form Adv Compilation Report on Record

ADVISORS ASSET MANAGEMENT, INC.
18925 BASE CAMP ROAD SUITE 203
MONUMENT CO    80132
Country: United States
Business Phone: 719-488-9956
Fax: 719-488-4215
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: DE
Number of employees: 242
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 965
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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ADVISORS ASSET MANAGEMENT, INC.

ownership team - last updated 2019-08-20
Name Title Start Date Direct/Indirect % Ownership
COLYER, SCOTT IRVIN CHIEF EXECUTIVE OFFICER/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
PEGG, RANDAL JASON EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
GENOVESE, CHRISTOPHER THOMAS EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
COSTAS, JAMES ROBERT EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2002-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2002-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. SR. EXEC. VP/DIRECTOR direct 2008-01-01
MEITZNER, ALEX ROBERT SR. VP 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2008-01-01
RANSON & ASSOCIATES INC. CHAIRMAN OF THE BOARD, direct 1996-01-01 2001-03-08
MATRIX CAPITAL GROUP, INC. FUNDS DIVISION - PRESIDENT direct 2002-01-01 2002-05-29
MATRIX CAPITAL GROUP, INC. SENIOR VICE PRESIDENT & PRESIDENT OF THE FUNDS DIVISION direct 2002-01-01 2003-03-31
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, PARTNER direct 2003-05-01 2006-03-17
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, LIMITED PARTNER direct 2003-05-01 2007-07-05
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2003-05-01 2007-12-20
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2003-05-01 2010-03-23
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2007-08-01 2013-04-30
SIMKIN, JACK DAVID DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - FINANCIAL PRINCIPAL direct 2002-10-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - FINANCIAL PRINCIPAL, PARTNER direct 2002-10-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/CHIEF OPERATING OFFICER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, LIMITED PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO direct 2005-03-01
ADVISORS ASSET MANAGEMENT, INC. DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER/DIRECTOR direct 2008-01-01
AAM HOLDINGS, INC SHAREHOLDER 12/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SHAREHOLDER direct 2010-12-01
WEBBER, JOHN EDWIN SVP, CHIEF COMPLIANCE OFFICER/SECRETARY 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
DANIEL, BART PATRICK CHIEF STRATEGY OFFICER/DIRECTOR 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER direct 2013-03-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER/DIRECTOR direct 2013-03-01
GILBERT, BRIAN WAYNE FIRST VP 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. FIRST VP direct 2012-10-01
BOYLE, MICHAEL ROY SR. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2015-07-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CFO AND CIO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CIO AND CFO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR AND CIO direct 2005-01-01
LLOYD, MATTHEW WILLIAM CHIEF INVESTMENT STRATEGIST 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF INVESTMENT STRATEGIST direct 2015-07-01
GALVIN, JOHN PATRICK EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2008-03-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2008-03-01
KNIGHT PORTFOLIO ACCESS LLC MANAGER, CHAIRMAN & CEO direct 2008-03-01
STEWART, RICHARD ALAN EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
STOKLOSA, TIMOTHY JOHN EXEC. VP, CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2006-10-01
PRINCETON MANAGED ASSETS, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2006-10-01
KNIGHT PORTFOLIO ACCESS, LLC MANAGER direct 2008-03-01
OPIE, JEFFREY KURTIS CHIEF FINANCIAL OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP, FINOP direct 2016-11-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2016-11-01
SICKLES, CHARLES EDWARD EXEC. VP 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2018-10-01
S&LC FAMILY LLC COMMON AND PREFERRED SHAREHOLDER AAM HOLDINGS, INC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2012-12-01
SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST MEMBER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
COLYER, SCOTT IRVIN CO-TRUSTEE OF MEMBER/MANAGER OF COMMON AND PREFERRED SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE CO-TRUSTEE OF MEMBER/MANAGER OF COMMON AND PREFERRED SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
SOUTH DAKOTA TRUST COMPANY, LLC TRUSTEE OF MEMBER OF COMMON SHAREHOLDER SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
CONTRARIAN CAPITAL MANAGEMENT LLC TRUSTEE indirect 2016-11-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2007-12-01
QCM CAYMAN, LTD. TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2011-01-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
CONSOLIDATED PORTFOLIO REVIEW CORP TRUSTEE indirect 2011-07-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2011-01-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
3D WEALTH RIA, LLC TRUSTEE indirect 2012-02-01
S&LC LIVING TRUST MEMBER AND MANAGER OF COMMON AND PREFERRED SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01

ADVISORS ASSET MANAGEMENT, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
COLYER, SCOTT IRVIN CHIEF EXECUTIVE OFFICER/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
PEGG, RANDAL JASON EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
GENOVESE, CHRISTOPHER THOMAS EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
COSTAS, JAMES ROBERT EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2002-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2002-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. SR. EXEC. VP/DIRECTOR direct 2008-01-01
MEITZNER, ALEX ROBERT SR. VP 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2008-01-01
RANSON & ASSOCIATES INC. CHAIRMAN OF THE BOARD, direct 1996-01-01 2001-03-08
MATRIX CAPITAL GROUP, INC. FUNDS DIVISION - PRESIDENT direct 2002-01-01 2002-05-29
MATRIX CAPITAL GROUP, INC. SENIOR VICE PRESIDENT & PRESIDENT OF THE FUNDS DIVISION direct 2002-01-01 2003-03-31
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, PARTNER direct 2003-05-01 2006-03-17
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, LIMITED PARTNER direct 2003-05-01 2007-07-05
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2003-05-01 2007-12-20
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2003-05-01 2010-03-23
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2007-08-01 2013-04-30
SIMKIN, JACK DAVID DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - FINANCIAL PRINCIPAL direct 2002-10-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - FINANCIAL PRINCIPAL, PARTNER direct 2002-10-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/CHIEF OPERATING OFFICER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, LIMITED PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO direct 2005-03-01
ADVISORS ASSET MANAGEMENT, INC. DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER/DIRECTOR direct 2008-01-01
AAM HOLDINGS, INC SHAREHOLDER 12/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SHAREHOLDER direct 2010-12-01
WEBBER, JOHN EDWIN SVP, CHIEF COMPLIANCE OFFICER/SECRETARY 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
DANIEL, BART PATRICK CHIEF STRATEGY OFFICER/DIRECTOR 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER direct 2013-03-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER/DIRECTOR direct 2013-03-01
GILBERT, BRIAN WAYNE FIRST VP 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. FIRST VP direct 2012-10-01
BOYLE, MICHAEL ROY SR. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2015-07-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CFO AND CIO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CIO AND CFO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR AND CIO direct 2005-01-01
LLOYD, MATTHEW WILLIAM CHIEF INVESTMENT STRATEGIST 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF INVESTMENT STRATEGIST direct 2015-07-01
GALVIN, JOHN PATRICK EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2008-03-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2008-03-01
KNIGHT PORTFOLIO ACCESS LLC MANAGER, CHAIRMAN & CEO direct 2008-03-01
STEWART, RICHARD ALAN EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
STOKLOSA, TIMOTHY JOHN EXEC. VP, CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2006-10-01
PRINCETON MANAGED ASSETS, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2006-10-01
KNIGHT PORTFOLIO ACCESS, LLC MANAGER direct 2008-03-01
OPIE, JEFFREY KURTIS CHIEF FINANCIAL OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP, FINOP direct 2016-11-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2016-11-01
SICKLES, CHARLES EDWARD EXEC. VP 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2018-10-01
COLYER, SCOTT IRVIN PREFERRED SHAREHOLDER AAM HOLDINGS, INC 05/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE PREFERRED SHAREHOLDER AAM HOLDINGS, INC 05/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
S&LC FAMILY LLC COMMON SHAREHOLDER AAM HOLDINGS, INC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2012-12-01
SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST MEMBER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
COLYER, SCOTT IRVIN CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
SOUTH DAKOTA TRUST COMPANY, LLC TRUSTEE OF MEMBER OF COMMON SHAREHOLDER SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
CONTRARIAN CAPITAL MANAGEMENT LLC TRUSTEE indirect 2016-11-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2007-12-01
QCM CAYMAN, LTD. TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2011-01-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
CONSOLIDATED PORTFOLIO REVIEW CORP TRUSTEE indirect 2011-07-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2011-01-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
3D WEALTH RIA, LLC TRUSTEE indirect 2012-02-01
S&LC LIVING TRUST MEMBER AND MANAGER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01

ADVISORS ASSET MANAGEMENT, INC.

ownership team - last updated 2018-10-31
Name Title Start Date Direct/Indirect % Ownership
GENOVESE, CHRISTOPHER THOMAS EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
COLYER, SCOTT IRVIN CHIEF EXECUTIVE OFFICER/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
PEGG, RANDAL JASON EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
COSTAS, JAMES ROBERT EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2002-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2002-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. SR. EXEC. VP/DIRECTOR direct 2008-01-01
MEITZNER, ALEX ROBERT SR. VP 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2008-01-01
RANSON & ASSOCIATES INC. CHAIRMAN OF THE BOARD, direct 1996-01-01 2001-03-08
MATRIX CAPITAL GROUP, INC. FUNDS DIVISION - PRESIDENT direct 2002-01-01 2002-05-29
MATRIX CAPITAL GROUP, INC. SENIOR VICE PRESIDENT & PRESIDENT OF THE FUNDS DIVISION direct 2002-01-01 2003-03-31
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, PARTNER direct 2003-05-01 2006-03-17
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, LIMITED PARTNER direct 2003-05-01 2007-07-05
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2003-05-01 2007-12-20
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2003-05-01 2010-03-23
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2007-08-01 2013-04-30
SIMKIN, JACK DAVID DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - FINANCIAL PRINCIPAL direct 2002-10-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - FINANCIAL PRINCIPAL, PARTNER direct 2002-10-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/CHIEF OPERATING OFFICER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, LIMITED PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO direct 2005-03-01
ADVISORS ASSET MANAGEMENT, INC. DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER/DIRECTOR direct 2008-01-01
AAM HOLDINGS, INC SHAREHOLDER 12/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SHAREHOLDER direct 2010-12-01
WEBBER, JOHN EDWIN SVP, CHIEF COMPLIANCE OFFICER/SECRETARY 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
DANIEL, BART PATRICK CHIEF STRATEGY OFFICER/DIRECTOR 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER direct 2013-03-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER/DIRECTOR direct 2013-03-01
GILBERT, BRIAN WAYNE FIRST VP 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. FIRST VP direct 2012-10-01
BOYLE, MICHAEL ROY SR. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2015-07-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CFO AND CIO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CIO AND CFO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR AND CIO direct 2005-01-01
LLOYD, MATTHEW WILLIAM CHIEF INVESTMENT STRATEGIST 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF INVESTMENT STRATEGIST direct 2015-07-01
GALVIN, JOHN PATRICK EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2008-03-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2008-03-01
KNIGHT PORTFOLIO ACCESS LLC MANAGER, CHAIRMAN & CEO direct 2008-03-01
STEWART, RICHARD ALAN EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
STOKLOSA, TIMOTHY JOHN EXEC. VP, CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2006-10-01
PRINCETON MANAGED ASSETS, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2006-10-01
KNIGHT PORTFOLIO ACCESS, LLC MANAGER direct 2008-03-01
OPIE, JEFFREY KURTIS CHIEF FINANCIAL OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP, FINOP direct 2016-11-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2016-11-01
SICKLES, CHARLES EDWARD EXEC. VP 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2018-10-01
COLYER, SCOTT IRVIN PREFERRED SHAREHOLDER AAM HOLDINGS, INC 05/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE PREFERRED SHAREHOLDER AAM HOLDINGS, INC 05/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
S&LC FAMILY LLC COMMON SHAREHOLDER AAM HOLDINGS, INC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2012-12-01
SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST MEMBER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
COLYER, SCOTT IRVIN CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
SOUTH DAKOTA TRUST COMPANY, LLC TRUSTEE OF MEMBER OF COMMON SHAREHOLDER SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
CONTRARIAN CAPITAL MANAGEMENT LLC TRUSTEE indirect 2016-11-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2007-12-01
QCM CAYMAN, LTD. TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2011-01-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
CONSOLIDATED PORTFOLIO REVIEW CORP TRUSTEE indirect 2011-07-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2011-01-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
3D WEALTH RIA, LLC TRUSTEE indirect 2012-02-01
S&LC LIVING TRUST MEMBER AND MANAGER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01

ADVISORS ASSET MANAGEMENT, INC.

ownership team - last updated 2018-04-04
Name Title Start Date Direct/Indirect % Ownership
COLYER, SCOTT IRVIN CHIEF EXECUTIVE OFFICER/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
PEGG, RANDAL JASON EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
GENOVESE, CHRISTOPHER THOMAS EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2001-02-01
FIXED INCOME SECURITIES, LP EVP, LIMITED PARTNER direct 2001-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
COSTAS, JAMES ROBERT EXEC. VP/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP VP, PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2002-02-01
FIXED INCOME SECURITIES, LP VP, LIMITED PARTNER direct 2002-02-01
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2002-02-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. SR. EXEC. VP/DIRECTOR direct 2008-01-01
MEITZNER, ALEX ROBERT SR. VP 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2008-01-01
RANSON & ASSOCIATES INC. CHAIRMAN OF THE BOARD, direct 1996-01-01 2001-03-08
MATRIX CAPITAL GROUP, INC. FUNDS DIVISION - PRESIDENT direct 2002-01-01 2002-05-29
MATRIX CAPITAL GROUP, INC. SENIOR VICE PRESIDENT & PRESIDENT OF THE FUNDS DIVISION direct 2002-01-01 2003-03-31
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, PARTNER direct 2003-05-01 2006-03-17
FIXED INCOME SECURITIES, LP MANAGED DIRECTOR, LIMITED PARTNER direct 2003-05-01 2007-07-05
FIXED INCOME SECURITIES, LP SVP, LIMITED PARTNER direct 2003-05-01 2007-12-20
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2003-05-01 2010-03-23
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2007-08-01 2013-04-30
SIMKIN, JACK DAVID DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - FINANCIAL PRINCIPAL direct 2002-10-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - FINANCIAL PRINCIPAL, PARTNER direct 2002-10-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/CHIEF OPERATING OFFICER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, LIMITED PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO/EXEC. VP, PARTNER direct 2005-03-01
FIXED INCOME SECURITIES, LP COO direct 2005-03-01
ADVISORS ASSET MANAGEMENT, INC. DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER/DIRECTOR direct 2008-01-01
WILLIAMS, ANDREW STEPHEN PRESIDENT/DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT, LIMITED PARTNER direct 2007-08-01
FIXED INCOME SECURITIES, INC. PRESIDENT direct 2007-12-01
FIXED INCOME SECURITIES, LP PRESIDENT, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. PRESIDENT/DIRECTOR direct 2008-01-01
AAM HOLDINGS, INC SHAREHOLDER 12/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SHAREHOLDER direct 2010-12-01
MCNAMARA, ROBERT CHARLES CHIEF OPERATING OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2013-03-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2013-03-01
WEBBER, JOHN EDWIN SVP, CHIEF COMPLIANCE OFFICER/SECRETARY 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
ADVISORS ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER/SECRETARY direct 2011-08-01
DANIEL, BART PATRICK CHIEF STRATEGY OFFICER/DIRECTOR 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER direct 2013-03-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF STRATEGY OFFICER/DIRECTOR direct 2013-03-01
GILBERT, BRIAN WAYNE FIRST VP 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. FIRST VP direct 2012-10-01
BOYLE, MICHAEL ROY SR. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP direct 2015-07-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CFO AND CIO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR, CIO AND CFO direct 2005-01-01
CLAYMORE INVESTMENTS, INC. DIRECTOR AND CIO direct 2005-01-01
LLOYD, MATTHEW WILLIAM CHIEF INVESTMENT STRATEGIST 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CHIEF INVESTMENT STRATEGIST direct 2015-07-01
GALVIN, JOHN PATRICK EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2008-03-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2008-03-01
KNIGHT PORTFOLIO ACCESS LLC MANAGER, CHAIRMAN & CEO direct 2008-03-01
RADTKE, JOHN SCOTT EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
INCAPITAL ASSET MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2011-05-01
STEWART, RICHARD ALAN EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
STOKLOSA, TIMOTHY JOHN EXEC. VP 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP direct 2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC ELECTED MANAGER indirect 2006-10-01
PRINCETON MANAGED ASSETS, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
CLEARBROOK PARTNERS LLC ELECTED MANAGER indirect 2006-10-01
KNIGHT PORTFOLIO ACCESS, LLC MANAGER direct 2008-03-01
OPIE, JEFFREY KURTIS CHIEF FINANCIAL OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. SR. VP, FINOP direct 2016-11-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2016-11-01
COLYER, SCOTT IRVIN PREFERRED SHAREHOLDER AAM HOLDINGS, INC 05/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE PREFERRED SHAREHOLDER AAM HOLDINGS, INC 05/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
S&LC FAMILY LLC COMMON SHAREHOLDER AAM HOLDINGS, INC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2012-12-01
SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST MEMBER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
COLYER, SCOTT IRVIN CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LLC PRESIDENT/CEO direct 2001-01-01
FIXED INCOME SECURITIES, LP PRESIDENT/CEO, PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2001-01-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP SHAREHOLDER indirect 2005-07-01
ADVISORS ASSET MANAGEMENT, INC. CHAIRMAN/CHIEF EXECUTIVE OFFICER direct 2007-12-01
FIXED INCOME SECURITIES, LP CHAIRMAN/CEO, LIMITED PARTNER direct 2007-12-01
ADVISORS ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
COLYER, LISA ANNE CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIXED INCOME SECURITIES, LLC EXEC. V.P. - OPERATIONS direct 2001-01-01
FIXED INCOME SECURITIES, INC. EXEC. VP direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, LIMITED PARTNER direct 2001-01-01
FIXED INCOME SECURITIES, LP EXEC. V.P. - OPERATIONS, PARTNER direct 2001-01-01
ADVISORS ASSET MANAGEMENT, INC. EXEC. VP/DIRECTOR direct 2008-01-01
ADVISORS ASSET MANAGEMENT, INC. CLASS B AND D SHAREHOLDER indirect 2010-12-01
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
ADVISORS ASSET MANAGEMENT, INC. PREFERRED SHAREHOLDER indirect 2013-05-01
SOUTH DAKOTA TRUST COMPANY, LLC TRUSTEE OF MEMBER OF COMMON SHAREHOLDER SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. TRUSTEE OF MEMBER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01
CONTRARIAN CAPITAL MANAGEMENT LLC TRUSTEE indirect 2016-11-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2007-12-01
QCM CAYMAN, LTD. TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LTD. TRUSTEE indirect 2011-01-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
QCM CAYMAN, LTD. TRUSTEE indirect 2012-09-01
CONSOLIDATED PORTFOLIO REVIEW CORP TRUSTEE indirect 2011-07-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2011-01-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
QUANTLAB CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2012-09-01
3D WEALTH RIA, LLC TRUSTEE indirect 2012-02-01
S&LC LIVING TRUST MEMBER AND MANAGER OF COMMON SHAREHOLDER S&LC FAMILY LLC 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ADVISORS ASSET MANAGEMENT, INC. MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER indirect 2012-12-01

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