FRONTIER WEALTH MANAGEMENT LLC

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Frontier Wealth Management is based out of Kansas City. Frontier Wealth Management is a large advisory firm with 1611 clients and discretionary assets under management (AUM) of $1,716,526,719 (Form ADV from 2017-11-01). Their last reported 13F filing for Q2 2019 included $677,590,000 in managed 13F securities and a top 10 holdings concentration of 35.73%. Frontier Wealth Management's largest holding is GEOPARK LIMITED with shares held of 3,220,342. Frontier Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 20 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $677.59 Million
  • Prior Market Value $737.853 Million
  • New Purchases17 stocks
  • Additional Purchases123 stocks
  • Sold out of75 stocks
  • Reduced holdings in123 stocks
  • Top 10 Holdings % 35.73 %
  • Turnover % [1]:30.26%
  • Turnover Alt % [2]: 18.00 %
  • Time Held Top20:7.00 quarters
  • Time Held Top10:6.10 quarters
  • Time Held All:11.59 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.42%
Performance Last 4 Quarters: 0.62%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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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
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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
GeoWealth Management, LLC

View Last Form Adv Compilation Report on Record

FRONTIER WEALTH MANAGEMENT, LLC
Classified as Hedge Fund
4435 MAIN STREET STE 650
KANSAS CITY MO    64111
Country: United States

Business Phone: 816-753-5100
Fax: 816-753-5101
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MO
Number of employees: 44
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Performance-based fees
Amount of client funds and securities: 9,626,730
Total Number of Clients: 1611
Amount of client funds and securities by related persons: 87,149,600
Total Number of clients from related persons: 4
Disclosures:
Data above was derived from SEC filings.

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FRONTIER WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-04-30
Name Title Start Date Direct/Indirect % Ownership
BLASI, NICHOLAS, MICHAEL CEO / ELECTED MEMBER 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER direct 2007-06-01
FRONTIER WEALTH MANAGEMENT, LLC CEO / ELECTED MEMBER direct 2009-11-01
FRONTIER WEALTH MANAGEMENT, LLC CEO direct 2009-11-01
KERR, TROY, DAVID CHIEF COMPLIANCE OFFICER / MEMBER 09/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ASPEN WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2006-01-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, SHAREHOLDER direct 2007-09-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / MEMBER direct 2007-09-01
SIMPLESAVE, LLC CHIEF COMPLIANCE OFFICER direct 2007-12-01
GEOWEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
FRONTIER WEALTH ENTERPRISES, LLC OWNER / MEMBER 04/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC OWNER direct 2011-04-01
FRONTIER WEALTH MANAGEMENT, LLC OWNER / MEMBER direct 2011-04-01
FIVE ELMS CAPITAL MANAGEMENT, LLC MANAGING MEMBER OF FRONTIER WEALTH MANAGEMENT, LLC indirect 2011-10-01
SIFERS, BRANDON CHIEF FINANCIAL OFFICER / ELECTED MEMBER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-01-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER / ELECTED MEMBER direct 2013-01-01
ANSON, AARON, JOSEPH CHIEF OPERATIONS OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC CHIEF OPERATIONS OFFICER direct 2017-01-01
FWE EQUITY, LLC EQUITY INVESTOR FRONTIER WEALTH ENTERPRISES, LLC 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC EQUITY INVESTOR indirect 2018-03-01
FWE CLASS D HOLDCO LLC EQUITY INVESTOR FRONTIER WEALTH ENTERPRISES, LLC 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC EQUITY INVESTOR indirect 2018-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KANSAS IN BLOOM LLC United States 805-6803675669 Private Equity Fund 2,594,934 25,000
FRONTIER FIVE ELMS II LP United States 805-2015904135 Private Equity Fund 20,915,258 100,000
FRONTIER FIVE ELMS III LP United States 805-5630571830 Private Equity Fund 16,151,750 100,000 Fund of Funds

FRONTIER WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BLASI, NICHOLAS, MICHAEL CEO / ELECTED MEMBER 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER direct 2007-06-01
FRONTIER WEALTH MANAGEMENT, LLC CEO / ELECTED MEMBER direct 2009-11-01
FRONTIER WEALTH MANAGEMENT, LLC CEO direct 2009-11-01
KERR, TROY, DAVID CHIEF COMPLIANCE OFFICER / MEMBER 09/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ASPEN WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2006-01-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, SHAREHOLDER direct 2007-09-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / MEMBER direct 2007-09-01
SIMPLESAVE, LLC CHIEF COMPLIANCE OFFICER direct 2007-12-01
GEOWEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
FRONTIER WEALTH ENTERPRISES, LLC OWNER / MEMBER 04/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC OWNER direct 2011-04-01
FRONTIER WEALTH MANAGEMENT, LLC OWNER / MEMBER direct 2011-04-01
FIVE ELMS CAPITAL MANAGEMENT, LLC MANAGING MEMBER OF FRONTIER WEALTH MANAGEMENT, LLC indirect 2011-10-01
SIFERS, BRANDON CHIEF FINANCIAL OFFICER / ELECTED MEMBER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-01-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER / ELECTED MEMBER direct 2013-01-01
ANSON, AARON, JOSEPH CHIEF OPERATIONS OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC CHIEF OPERATIONS OFFICER direct 2017-01-01
FWE EQUITY, LLC EQUITY INVESTOR FRONTIER WEALTH ENTERPRISES, LLC 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC EQUITY INVESTOR indirect 2018-03-01
FWE CLASS D HOLDCO LLC EQUITY INVESTOR FRONTIER WEALTH ENTERPRISES, LLC 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC EQUITY INVESTOR indirect 2018-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KANSAS IN BLOOM LLC United States 805-6803675669 Private Equity Fund 2,594,934 25,000
FRONTIER FIVE ELMS II LP United States 805-2015904135 Private Equity Fund 20,915,258 100,000
FRONTIER FIVE ELMS III LP United States 805-5630571830 Private Equity Fund 16,151,750 100,000 Fund of Funds

FRONTIER WEALTH MANAGEMENT, LLC

ownership team - last updated 2017-06-28
Name Title Start Date Direct/Indirect % Ownership
BLASI, NICHOLAS, MICHAEL CEO / ELECTED MEMBER 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER direct 2007-06-01
FRONTIER WEALTH MANAGEMENT, LLC CEO / ELECTED MEMBER direct 2009-11-01
FRONTIER WEALTH MANAGEMENT, LLC CEO direct 2009-11-01
KERR, TROY, DAVID CHIEF COMPLIANCE OFFICER / MEMBER 09/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ASPEN WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2006-01-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, SHAREHOLDER direct 2007-09-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / MEMBER direct 2007-09-01
SIMPLESAVE, LLC CHIEF COMPLIANCE OFFICER direct 2007-12-01
GEOWEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
FRONTIER WEALTH ENTERPRISES, LLC OWNER / MEMBER 04/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC OWNER direct 2011-04-01
FRONTIER WEALTH MANAGEMENT, LLC OWNER / MEMBER direct 2011-04-01
FIVE ELMS CAPITAL MANAGEMENT, LLC MANAGING MEMBER OF FRONTIER WEALTH MANAGEMENT, LLC indirect 2011-10-01
SIFERS, BRANDON CHIEF FINANCIAL OFFICER / ELECTED MEMBER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-01-01
FRONTIER WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER / ELECTED MEMBER direct 2013-01-01
GEOWEALTH HOLDINGS LLC OWNER FRONTIER WEALTH ENTERPRISES, LLC 04/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER direct 2009-11-01
FRONTIER WEALTH MANAGEMENT, LLC OWNER indirect 2011-04-01
GEOWEALTH MANAGEMENT, INC. MANAGING MEMBER direct 2004-12-01
GEOWEALTH MANAGEMENT LLC OWNER OF GEOCAPITAL INVESTMENTS, LLC direct 2004-12-01
THE GLOBE RESOURCES GROUP INC. MEMBER OF GEOWEALTH HOLDINGS LLC GEOWEALTH HOLDINGS LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC MEMBER OF GEOWEALTH HOLDINGS LLC indirect 2004-12-01
FRONTIER WEALTH MANAGEMENT, LLC MEMBER indirect 2004-12-01
GEOWEALTH MANAGEMENT, INC. MEMBER indirect 2004-12-01
MONTREAUX, INC. SHAREHOLDER OF THE GLOBE RESOURCES GROUP INC. THE GLOBE RESOURCES GROUP INC. 07/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER OF THE GLOBE RESOURCES GROUP INC. indirect 2000-07-01
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2000-07-01
GEOWEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2000-07-01
PHOENIX CAPITAL GROUP, INC. SHAREHOLDER OF MONTREAUX, INC. MONTREAUX, INC. 07/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER OF MONTREAUX, INC. indirect 2000-07-01
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2000-07-01
GEOWEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2000-07-01
I.A. O'SHAUGHNESSY TRUST, FBO GERALD E. O'SHAUGHNESSY SHAREHOLDER OF PHOENIX CAPITAL GROUP, INC. PHOENIX CAPITAL GROUP, INC. 07/01/2000 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER OF PHOENIX CAPITAL GROUP, INC. indirect 2000-07-01
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2000-07-01
GEOWEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2000-07-01
L.G. O'SHAUGHNESSY TRUST, FBO GERALD E. O'SHAUGHNESSY SHAREHOLDER OF PHOENIX CAPITAL GROUP, INC. PHOENIX CAPITAL GROUP, INC. 07/01/2000 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER OF PHOENIX CAPITAL GROUP, INC. indirect 2000-07-01
FRONTIER WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2000-07-01
GEOWEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2000-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KANSAS IN BLOOM LLC United States 805-6803675669 Private Equity Fund 10,045,332 25,000
FRONTIER FIVE ELMS II LP United States 805-2015904135 Private Equity Fund 19,043,254 100,000
FRONTIER PERMO FUND, LLC United States 805-7261724492 Hedge Fund 28,387,023 50,000 Fund of Funds
FRONTIER FIVE ELMS III LP United States 805-5630571830 Private Equity Fund 13,050,000 100,000 Fund of Funds

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