HIGHTOWER ADVISORS, LLC

https://www.hightowergreatlakes.com CHICAGO, IL Investment Advisor Hedge Fund How do I update this listing?

Hightower Advisors is based out of Chicago. Hightower Advisors is a hedge fund with 103695 clients and discretionary assets under management (AUM) of $57,000,000,000 (Form ADV from 2020-10-20). Their last reported 13F filing for Q3 2020 included $20,709,006,000 in managed 13F securities and a top 10 holdings concentration of 20.07%. Hightower Advisors's largest holding is Apple Inc with shares held of 7,787,054. Whalewisdom has at least 51 13F filings, and 1 13G filings

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09/30/2020

13F Activity

  • Market Value $20.709 Billion
  • Prior Market Value $18.328 Billion
  • New Purchases357 stocks
  • Additional Purchases1118 stocks
  • Sold out of242 stocks
  • Reduced holdings in898 stocks
  • Top 10 Holdings % 20.07 %
  • Turnover % [1]:23.28%
  • Turnover Alt % [2]: 4.05 %
  • Time Held Top20:14.90 quarters
  • Time Held Top10:8.40 quarters
  • Time Held All:15.01 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.

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16

Performance for Q3 2020: 4.2%
Performance Last 4 Quarters: 4.46%
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
AllianceBernstein
Allianz Global Investors U.S. LLC
Alpine Investment Management
Alta Capital Management, LLC
AMI Asset Management Corporation
Anchor Capital Advisors LLC
Aperio Group LLC
Apex Capital Management
Aristotle Capital Management, LLC
Ashfield Capital Partners, LLC
Atalanta Sosnoff Capital, LLC
Atlanta Capital Management Company LLC
Bahl Gaynor, Inc.
BlackRock Investment Management, LLC
Brandes Investment Partners
Brookmont Capital Management, LLC
Brown Advisory LLC
Cambiar Investors, LLC
Campbell Newman Asset Management, Inc.
Capital Innovations, LLC
Chandler Asset Management, Inc.
Congress Asset Management Company
Dana Investment Advisors
Davis Selected Advisors, L.P.
Delaware Management Business Trust
DSM Capital Partners LLC
Eagle Asset Management, Inc.
Earnest Partners, LLC
Eaton Vance Management
Equity Investment Corp.
Fayez Sarofim Co.
Federated Investment Counseling
Franklin Templeton Portfolio Advisors, Inc.
Fred Alger Management, Inc.
Glenmede Investment Management
Glovista Investments, LLC
GW Investment Management, LLC
Harding Loevner
Harris Associates LP
HGK Asset Management, Inc.
Horizon Asset Management
Horizon Investment Services
Invesco Advisers, Inc.
Isthmus Partners, LLC
JP Morgan Investment Management Inc.
Karpus Management
Kayne Anderson Rudnick Investment Management, LLC
Kennedy Capital Management
Laffer Investments Inc.
Lateef Investment Management
Lazard Asset Management, LLC
Legg Mason Private Portfolio Group, LLC
Loomis Sayles Company, L.P.
Lord, Abbett Co. LLC
M.D. Sass Investors Services, Inc.
Madison Investment Advisors, Inc.
MFS Investment Management
Miller Howard Investments, Inc.
Montag Caldwell, LLC
Neuberger Berman LLC
Newgate Capital Management, LLC
Nuance Investments, LLC
Nuveen Asset Management, LLC
NWQ Investment Management Company, LLC
O'Shaughnessy Asset Management, LLC
Oak Ridge Investments, LLC
Pacific Investment Management Company LLC
Parametric Portfolio Associates LLC
Polen Capital Management, LLC
Principal Global Investors, LLC
Renaissance Investment Management
Richard Bernstein Advisors LLC
Riverbridge Partners LLC
Santa Barbara Asset Management, LLC
Schafer Cullen Capital Management
Select Equity Group
Shelton Capital Management
SouthernSun Asset Management, LLC
Stonebridge Advisors
Strategy Asset Managers
TCW Investment Management Company
The London Company
Thomas White International, Ltd.
Thompson, Siegel Walmsley LLC
Thornburg Investment Management
Todd Asset Management, LLC
Vanguard
Victory Capital Management
Voya Investment Management Co. LLC
W. H. Reaves Co., Inc
WAKEFIELD ASSET MANAGEMENT LLLP
WCM Investment Management
Wedgewood Partners, Inc.
Wellesley Asset Management, Inc.
WestEnd Advisors, LLC
Windhaven Investment Management, Inc.
Winslow Capital Management, Inc.

View Last Form Adv Compilation Report on Record

HIGHTOWER ADVISORS, LLC
200 W. MADISON ST. SUITE 2500
CHICAGO IL    60606
Country: United States

Business Phone: 312-962-3800
Fax: 312-276-8341
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 566
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,RETAINER OR SERVICE FEES OR SOME COMBINATION OF 1, 2, 4, 5 & 7
Amount of client funds and securities:
Total Number of Clients: 103695
Amount of client funds and securities by related persons: 884,896,000
Total Number of clients from related persons: 134
Disclosures:
Data above was derived from SEC filings.

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HIGHTOWER ADVISORS, LLC

ownership team - last updated 2020-09-30
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WASCHER, PAUL, HEINZ ROBERT DIRECTOR OF COMPLIANCE 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR OF COMPLIANCE direct 2019-04-01
THETFORD, MICHELLE, MARIE CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
BOYLE, JOHN, THOMAS EXECUTIVE DIRECTOR, OPERATIONS 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS direct 2019-12-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
THETFORD, MICHELLE, MARIE CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WASCHER, PAUL, HEINZ ROBERT DIRECTOR OF COMPLIANCE 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR OF COMPLIANCE direct 2019-04-01
BOYLE, JOHN, THOMAS EXECUTIVE DIRECTOR, OPERATIONS 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS direct 2019-12-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-11-22
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WASCHER, PAUL, HEINZ ROBERT DIRECTOR OF COMPLIANCE 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR OF COMPLIANCE direct 2019-04-01
THETFORD, MICHELLE, MARIE CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WASCHER, PAUL, HEINZ ROBERT DIRECTOR OF COMPLIANCE 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR OF COMPLIANCE direct 2019-04-01
THETFORD, MICHELLE, MARIE CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-04-30
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2018-12-13
Name Title Start Date Direct/Indirect % Ownership
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
Mutch, Nicolas EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WEISSBLUTH, ELLIOT, SOL CEO OF HOLDING COMPANY HIGHTOWER HOLDING, LLC 05/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
U.S. FIDUCIARY ADVISORS, LLC PRESIDENT direct 2004-10-01
USF ALTERNATIVE SERVICES, LLC PRESIDENT direct 2005-05-01
HIGHTOWER ADVISORS, LLC CEO OF HOLDING COMPANY indirect 2008-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2018-06-26
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
Mutch, Nicolas EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
WEISSBLUTH, ELLIOT, SOL CEO OF HOLDING COMPANY HIGHTOWER HOLDING, LLC 05/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
U.S. FIDUCIARY ADVISORS, LLC PRESIDENT direct 2004-10-01
USF ALTERNATIVE SERVICES, LLC PRESIDENT direct 2005-05-01
HIGHTOWER ADVISORS, LLC CEO OF HOLDING COMPANY indirect 2008-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

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