CERITY PARTNERS LLC

https://www.linkedin.com/company/cerity-partners NEW YORK, NY Investment Advisor How do I update this listing?

Cerity Partners is based out of New York. Cerity Partners is a large advisory firm with 2821 clients and discretionary assets under management (AUM) of $7,708,764,579 (Form ADV from 2018-07-01). Their last reported 13F filing for Q3 2019 included $1,703,685,000 in managed 13F securities and a top 10 holdings concentration of 32.41%. Cerity Partners's largest holding is Illinois Tool Works Inc with shares held of 866,343. Whalewisdom has at least 12 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.704 Billion
  • Prior Market Value $1.586 Billion
  • New Purchases50 stocks
  • Additional Purchases234 stocks
  • Sold out of52 stocks
  • Reduced holdings in161 stocks
  • Top 10 Holdings % 32.41 %
  • Turnover % [1]:21.56%
  • Turnover Alt % [2]: 11.60 %
  • Time Held Top20:6.40 quarters
  • Time Held Top10:5.40 quarters
  • Time Held All:7.21 quarters

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

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

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 8.87%
Performance Last 4 Quarters: 18.36%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CERITY PARTNERS LLC
335 MADISON AVENUE 23RD FLOOR
NEW YORK NY    10017
Country: United States

Business Phone: 212-850-4260
Fax: 212-937-1942
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 164
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Performance-based fees
Amount of client funds and securities: 2,111,680,000
Total Number of Clients: 2821
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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CERITY PARTNERS LLC

ownership team - last updated 2019-07-29
Name Title Start Date Direct/Indirect % Ownership
MISCINSKI, KURT, PATRICK PRESIDENT 12/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01
SECO, ROBERT, JOSEPH CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CALIBRE WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
STILLWATER CAPITAL ADVISORS, LLC MANGER/CHIEF COMPLIANCE OFFICER direct 2009-03-01
GOLDEN ASSETS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
LONGLEAF MANAGEMENT SERVICES, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
TGG FAMILY WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
HPM PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
STONE TOWER FAMILY OFFICE, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
NIKE INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
GATEWAY ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-11-01
HUDSON WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-01-01
AZARIAS CAPITAL PARTNERS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2010-03-01
GORE MOUNTAIN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
BRAMPTON ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
ALBION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-07-01
HPM ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
PAAG MERGER LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ATLAS FAMILY OFFICE LLC CHIEF COMPLIANCE OFFICER direct 2014-07-01
COMRIE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-09-01
PACE, BENJAMIN, A CHIEF INVESTMENT OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF INVESTMENT OFFICER direct 2014-10-01
HODI, MARIA, ALEXANDRA CHIEF ADMINISTRATIVE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
BAJA WEALTH ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-08-01
HILDEN, KEVIN CHIEF OPERATING OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
BAJA WEALTH ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS EQUITY HOLDING LLC MEMBER 09/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2018-09-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
CERITY PARTNERS HOLDINGS, LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
LIGHTYEAR FUND IV AIV-1, L.P. MEMBER CERITY PARTNERS HOLDINGS, LLC 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2017-12-01
LY/CP, LLC LIMITED PARTNER LIGHTYEAR FUND IV AIV-1, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
LY IV AIV-1 HOLDING, L.P. MEMBER LY/CP, LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-01-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS LLC MEMBER indirect 2018-01-01
2297984 ONTARIO LIMITED LIMITED PARTNER LY IV AIV-1 HOLDING, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS EOE LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
MISCINSKI, KURT, PATRICK MANAGER CERITY PARTNERS EOE LLC 11/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01

CERITY PARTNERS LLC

ownership team - last updated 2019-06-02
Name Title Start Date Direct/Indirect % Ownership
MISCINSKI, KURT, PATRICK PRESIDENT 12/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01
SECO, ROBERT, JOSEPH CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CALIBRE WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
STILLWATER CAPITAL ADVISORS, LLC MANGER/CHIEF COMPLIANCE OFFICER direct 2009-03-01
GOLDEN ASSETS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
LONGLEAF MANAGEMENT SERVICES, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
TGG FAMILY WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
HPM PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
STONE TOWER FAMILY OFFICE, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
NIKE INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
GATEWAY ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-11-01
HUDSON WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-01-01
AZARIAS CAPITAL PARTNERS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2010-03-01
GORE MOUNTAIN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
BRAMPTON ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
ALBION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-07-01
HPM ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
PAAG MERGER LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ATLAS FAMILY OFFICE LLC CHIEF COMPLIANCE OFFICER direct 2014-07-01
COMRIE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-09-01
PACE, BENJAMIN, A CHIEF INVESTMENT OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF INVESTMENT OFFICER direct 2014-10-01
HODI, MARIA, ALEXANDRA CHIEF ADMINISTRATIVE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
BAJA WEALTH ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-08-01
HILDEN, KEVIN CHIEF OPERATING OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
BAJA WEALTH ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS EQUITY HOLDING LLC MEMBER 09/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2018-09-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
Coles, Brent CHIEF FINANCIAL OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CERITY PARTNERS LLC CHIEF FINANCIAL OFFICER direct 2019-02-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2019-02-01
BAJA WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2019-02-01
CERITY PARTNERS HOLDINGS, LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
LIGHTYEAR FUND IV AIV-1, L.P. MEMBER CERITY PARTNERS HOLDINGS, LLC 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2017-12-01
LY/CP, LLC LIMITED PARTNER LIGHTYEAR FUND IV AIV-1, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
LY IV AIV-1 HOLDING, L.P. MEMBER LY/CP, LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-01-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS LLC MEMBER indirect 2018-01-01
2297984 ONTARIO LIMITED LIMITED PARTNER LY IV AIV-1 HOLDING, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS EOE LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
MISCINSKI, KURT, PATRICK MANAGER CERITY PARTNERS EOE LLC 11/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01

CERITY PARTNERS LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
MISCINSKI, KURT, PATRICK PRESIDENT 12/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01
SECO, ROBERT, JOSEPH CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CALIBRE WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
STILLWATER CAPITAL ADVISORS, LLC MANGER/CHIEF COMPLIANCE OFFICER direct 2009-03-01
GOLDEN ASSETS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
LONGLEAF MANAGEMENT SERVICES, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
TGG FAMILY WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
HPM PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
STONE TOWER FAMILY OFFICE, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
NIKE INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
GATEWAY ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-11-01
HUDSON WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-01-01
AZARIAS CAPITAL PARTNERS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2010-03-01
GORE MOUNTAIN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
BRAMPTON ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
ALBION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-07-01
HPM ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
PAAG MERGER LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ATLAS FAMILY OFFICE LLC CHIEF COMPLIANCE OFFICER direct 2014-07-01
COMRIE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-09-01
PACE, BENJAMIN, A CHIEF INVESTMENT OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF INVESTMENT OFFICER direct 2014-10-01
HODI, MARIA, ALEXANDRA CHIEF ADMINISTRATIVE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
BAJA WEALTH ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-08-01
HILDEN, KEVIN CHIEF OPERATING OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
BAJA WEALTH ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS EQUITY HOLDING LLC MEMBER 09/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2018-09-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
Coles, Brent CHIEF FINANCIAL OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CERITY PARTNERS LLC CHIEF FINANCIAL OFFICER direct 2019-02-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2019-02-01
BAJA WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2019-02-01
CERITY PARTNERS HOLDINGS, LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
LIGHTYEAR FUND IV AIV-1, L.P. MEMBER CERITY PARTNERS HOLDINGS, LLC 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2017-12-01
LY/CP, LLC LIMITED PARTNER LIGHTYEAR FUND IV AIV-1, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
LY IV AIV-1 HOLDING, L.P. MEMBER LY/CP, LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-01-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS LLC MEMBER indirect 2018-01-01
2297984 ONTARIO LIMITED LIMITED PARTNER LY IV AIV-1 HOLDING, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS EOE LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
MISCINSKI, KURT, PATRICK MANAGER CERITY PARTNERS EOE LLC 11/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01

CERITY PARTNERS LLC

ownership team - last updated 2018-12-26
Name Title Start Date Direct/Indirect % Ownership
MISCINSKI, KURT, PATRICK PRESIDENT 12/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01
SECO, ROBERT, JOSEPH CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CALIBRE WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
STILLWATER CAPITAL ADVISORS, LLC MANGER/CHIEF COMPLIANCE OFFICER direct 2009-03-01
GOLDEN ASSETS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
LONGLEAF MANAGEMENT SERVICES, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
TGG FAMILY WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
HPM PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
STONE TOWER FAMILY OFFICE, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
NIKE INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
GATEWAY ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-11-01
HUDSON WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-01-01
AZARIAS CAPITAL PARTNERS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2010-03-01
GORE MOUNTAIN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
BRAMPTON ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
ALBION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-07-01
HPM ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
PAAG MERGER LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ATLAS FAMILY OFFICE LLC CHIEF COMPLIANCE OFFICER direct 2014-07-01
COMRIE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-09-01
SUSSMAN, LAWRENCE, ERIC CHIEF FINANCIAL OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC DIRECTOR OF FINANCE AND OPERATIONS direct 2010-10-01
HPM PARTNERS LLC CHIEF OPERATING OFFICER direct 2010-10-01
HPM PARTNERS ADVISOR ALLIANCE LLC DIRECTOR OF OPERATIONS AND FINANCE direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC DIRECTOR OF OPERATIONS AND FINANCE direct 2012-04-01
PACE, BENJAMIN, A CHIEF INVESTMENT OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF INVESTMENT OFFICER direct 2014-10-01
HODI, MARIA, ALEXANDRA CHIEF ADMINISTRATIVE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-01-01
BAJA WEALTH ADVISORS LLC CHIEF ADMINISTRATIVE OFFICER direct 2017-08-01
HILDEN, KEVIN CHIEF OPERATING OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
BAJA WEALTH ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-05-01
CERITY PARTNERS EQUITY HOLDING LLC MEMBER 09/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2018-09-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
CERITY PARTNERS HOLDINGS, LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
LIGHTYEAR FUND IV AIV-1, L.P. MEMBER CERITY PARTNERS HOLDINGS, LLC 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2017-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2017-12-01
CERITY PARTNERS LLC MEMBER indirect 2017-12-01
LY/CP, LLC LIMITED PARTNER LIGHTYEAR FUND IV AIV-1, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
LY IV AIV-1 HOLDING, L.P. MEMBER LY/CP, LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-01-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-01-01
CERITY PARTNERS LLC MEMBER indirect 2018-01-01
2297984 ONTARIO LIMITED LIMITED PARTNER LY IV AIV-1 HOLDING, L.P. 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
BAJA WEALTH ADVISORS LLC LIMITED PARTNER indirect 2018-01-01
CERITY PARTNERS EOE LLC MEMBER CERITY PARTNERS EQUITY HOLDING LLC 09/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC MEMBER direct 2017-12-01
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC MEMBER indirect 2018-09-01
BAJA WEALTH ADVISORS LLC MEMBER indirect 2018-09-01
CERITY PARTNERS LLC MEMBER indirect 2018-09-01
MISCINSKI, KURT, PATRICK MANAGER CERITY PARTNERS EOE LLC 11/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01

HPM PARTNERS LLC

ownership team - last updated 2017-04-03
Name Title Start Date Direct/Indirect % Ownership
MISCINSKI, KURT, PATRICK PRESIDENT 12/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT/CHIEF OPERATING OFFICER direct 2009-08-01
HPM PARTNERS LLC PRESIDENT direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PRESIDENT direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PRESIDENT direct 2012-04-01
PAAG MERGER LLC MANAGER direct 2015-08-01
ATLAS FAMILY OFFICE LLC PRESIDENT indirect 2009-10-01
COMRIE WEALTH MANAGEMENT LLC PRESIDENT indirect 2009-10-01
EMIGRANT BANK MANAGING MEMBER 12/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIX HILLS PARTNERS, LLC SHAREHOLDER indirect 2005-06-01
DIX HILLS PARTNERS, LLC SHAREHOLDER indirect 2005-06-01
DIX HILLS PARTNERS, LLC MEMBER direct 2005-07-01
DIX HILLS PARTNERS, LLC SHAREHOLDER direct 2005-07-01
HPM PARTNERS LLC MANAGING MEMBER direct 2009-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PARENT CORPORATION indirect 2009-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PARENT CORPORATION indirect 2009-12-01
PENSION ARCHITECTS ADVISORY GROUP LLC PARENT CORPORATION indirect 2009-12-01
ATLAS FAMILY OFFICE LLC PARENT CORPORATION indirect 2009-12-01
COMRIE WEALTH MANAGEMENT LLC PARENT CORPORATION indirect 2009-12-01
SECO, ROBERT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CALIBRE WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
STILLWATER CAPITAL ADVISORS, LLC MANGER/CHIEF COMPLIANCE OFFICER direct 2009-03-01
GOLDEN ASSETS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
LONGLEAF MANAGEMENT SERVICES, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
TGG FAMILY WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
HPM PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
STONE TOWER FAMILY OFFICE, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STONE TOWER FAMILY OFFICE, LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
NIKE INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
GATEWAY ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-11-01
HUDSON WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-01-01
AZARIAS CAPITAL PARTNERS, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2010-03-01
GORE MOUNTAIN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
BRAMPTON ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
ALBION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-07-01
HPM ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
PAAG MERGER LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ATLAS FAMILY OFFICE LLC CHIEF COMPLIANCE OFFICER direct 2014-07-01
COMRIE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-09-01
SUSSMAN, LAWRENCE, ERIC CHIEF OPERATING OFFICER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC DIRECTOR OF FINANCE AND OPERATIONS direct 2010-10-01
HPM PARTNERS LLC CHIEF OPERATING OFFICER direct 2010-10-01
HPM PARTNERS ADVISOR ALLIANCE LLC DIRECTOR OF OPERATIONS AND FINANCE direct 2010-10-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC DIRECTOR OF OPERATIONS AND FINANCE direct 2012-04-01
PACE, BENJAMIN, A CHIEF INVESTMENT OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HPM PARTNERS LLC CHIEF INVESTMENT OFFICER direct 2014-10-01
NEW YORK PRIVATE BANK AND TRUST CORPORATION PARENT CORPORATION EMIGRANT BANCORP 12/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DIX HILLS PARTNERS, LLC SHAREHOLDER indirect 2003-12-01
HPM PARTNERS LLC PARENT CORPORATION indirect 2003-12-01
HPM PARTNERS LLC PARENT CORPORATION indirect 2003-12-01
HPM PARTNERS ADVISOR ALLIANCE LLC PARENT CORPORATION indirect 2003-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PARENT CORPORATION indirect 2003-12-01
PAAG MERGER LLC PARENT CORPORATION indirect 2003-12-01
ATLAS FAMILY OFFICE LLC PARENT CORPORATION indirect 2003-12-01
COMRIE WEALTH MANAGEMENT LLC PARENT CORPORATION indirect 2003-12-01
PAUL MILSTEIN 1998 REVOCABLE TRUST GRANTOR TRUST NEW YORK PRIVATE BANK AND TRUST CORPORATION 02/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED MEMBER indirect 2003-11-01
HPM PARTNERS LLC TRUSTEE indirect 2004-02-01
HPM PARTNERS LLC GRANTOR TRUST indirect 2004-02-01
HPM ADVISORS LLC TRUSTEE indirect 2004-02-01
HPM PARTNERS ADVISOR ALLIANCE LLC GRANTOR TRUST indirect 2004-02-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC TRUSTEE indirect 2004-02-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC GRANTOR TRUST indirect 2004-02-01
PAAG MERGER LLC GRANTOR TRUST indirect 2004-02-01
ATLAS FAMILY OFFICE LLC GRANTOR TRUST indirect 2004-02-01
ATLAS FAMILY OFFICE LLC TRUSTEE indirect 2004-02-01
COMRIE WEALTH MANAGEMENT LLC TRUSTEE indirect 1998-03-01
COMRIE WEALTH MANAGEMENT LLC GRANTOR TRUST indirect 2004-02-01
MILSTEIN, IRMA TRUSTEE PAUL MILSTEIN 1998 REVOCABLE TRUST 03/01/1998 Indirect Other
Fund Name Position direct/indirect start date end date
MILSTEIN ADVISORS LLC TRUSTEE indirect 1998-03-01
HPM PARTNERS ADVISOR ALLIANCE LLC TRUSTEE indirect 1998-03-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC TRUSTEE indirect 1998-03-01
ATLAS FAMILY OFFICE LLC TRUSTEE indirect 1998-03-01
COMRIE WEALTH MANAGEMENT LLC TRUSTEE indirect 1998-03-01
MILSTEIN, HOWARD, P. TRUSTEE PAUL MILSTEIN 1998 REVOCABLE TRUST 02/01/2004 Indirect Other
Fund Name Position direct/indirect start date end date
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED MEMBER indirect 2003-11-01
HPM PARTNERS LLC TRUSTEE indirect 2004-02-01
HPM PARTNERS LLC GRANTOR TRUST indirect 2004-02-01
HPM ADVISORS LLC TRUSTEE indirect 2004-02-01
HPM PARTNERS ADVISOR ALLIANCE LLC GRANTOR TRUST indirect 2004-02-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC TRUSTEE indirect 2004-02-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC GRANTOR TRUST indirect 2004-02-01
PAAG MERGER LLC GRANTOR TRUST indirect 2004-02-01
ATLAS FAMILY OFFICE LLC GRANTOR TRUST indirect 2004-02-01
ATLAS FAMILY OFFICE LLC TRUSTEE indirect 2004-02-01
COMRIE WEALTH MANAGEMENT LLC TRUSTEE indirect 1998-03-01
COMRIE WEALTH MANAGEMENT LLC GRANTOR TRUST indirect 2004-02-01
EMIGRANT BANCORP PARENT CORPORATION EMIGRANT BANK 12/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DIX HILLS PARTNERS, LLC SHAREHOLDER indirect 1994-03-01
HPM PARTNERS LLC PARENT CORPORATION indirect 2003-12-01
MILSTEIN ADVISORS LLC PARENT CORPORATION direct 2009-08-01
MILSTEIN ADVISORS LLC MANAGING MEMBER direct 2009-08-01
HPM PARTNERS ADVISOR ALLIANCE LLC PARENT CORPORATION indirect 2003-12-01
RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC PARENT CORPORATION indirect 2003-12-01
PAAG MERGER LLC PARENT CORPORATION indirect 2003-12-01
ATLAS FAMILY OFFICE LLC PARENT CORPORATION indirect 2003-12-01
COMRIE WEALTH MANAGEMENT LLC PARENT CORPORATION indirect 2003-12-01

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