KAYNE ANDERSON CAPITAL ADVISORS LP

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Kayne Anderson Capital Advisors is based out of Los Angeles. Kayne Anderson Capital Advisors is a hedge fund with 155 clients and discretionary assets under management (AUM) of $32,684,313,000 (Form ADV from 2021-05-05). Their last reported 13F filing for Q1 2021 included $3,146,629,000 in managed 13F securities and a top 10 holdings concentration of 50.8%. Kayne Anderson Capital Advisors's largest holding is Enterprise Products Partners LP with shares held of 10,194,325. Kayne Anderson Capital Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 89 13F filings, 9 13D filings, 487 13G filings, and 15 Form 4 filings

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03/31/2021

13F Activity

  • Market Value $3.147 Billion
  • Prior Market Value $2.768 Billion
  • New Purchases12 stocks
  • Additional Purchases17 stocks
  • Sold out of7 stocks
  • Reduced holdings in41 stocks
  • Top 10 Holdings % 50.80 %
  • Turnover % [1]:20.88%
  • Turnover Alt % [2]: 7.95 %
  • Time Held Top20:15.45 quarters
  • Time Held Top10:13.10 quarters
  • Time Held All:15.51 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.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-05-17

Performance for Q1 2021: 9.72%
Performance Last 4 Quarters: 33.51%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
KA Fund Advisors LLC

View Last Form Adv Compilation Report on Record

KAYNE ANDERSON CAPITAL ADVISORS LP
Classified as Hedge Fund
1800 AVENUE OF THE STARS THIRD FLOOR
LOS ANGELES CA    90067
Country: United States

Business Phone: 310-282-7900
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 314
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 155
Amount of client funds and securities by related persons: 27,503,600,000
Total Number of clients from related persons: 125
Disclosures:
Data above was derived from SEC filings.

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KAYNE ANDERSON CAPITAL ADVISORS LP

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. GENERAL PARTNER 06/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL PARTNER direct 1994-06-01
KA FUND ADVISORS, LLC GENERAL PARTNER indirect 1994-06-01 2012-04-17
KAYNE, RICHARD, ALAN CO-CHAIRMAN & FOUNDER; LIMITED PARTNER 06/01/1994 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SINNOTT, ROBERT, VOSE CO-CHAIRMAN; LIMITED PARTNER 04/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC CO-CHAIRMAN OF MANAGER direct 2010-04-01
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN direct 2010-04-01
KA FUND ADVISORS, LLC CO-CHAIRMAN indirect 2016-07-01
KA FUND ADVISORS, LLC MANAGING DIRECTOR indirect 1997-01-01 2010-03-23
KAYNE ANDERSON FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER OF MANAGER direct 1997-01-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING DIRECTOR direct 1997-01-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER OFFICER OF MANAGER direct 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-04-01 2016-03-29
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2010-04-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-04-01 2016-09-28
STAPLETON, PAUL, FRANCIS CHIEF FINANCIAL OFFICER; LIMITED PARTNER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF FINANCIAL OFFICER direct 2011-03-01
O'NEIL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
KA FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
SAYBROOK FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
LEVITT, MICHAEL, JEFFREY CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2016-07-01
STONE TOWER DEBT ADVISORS LLC MANAGER indirect 2001-09-01
STONE TOWER DEBT ADVISORS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER direct 2005-08-01
APOLLO ST DEBT ADVISORS LLC MEMBER direct 2005-08-01
STONE TOWER DEBT ADVISORS LLC LIMITED PARTNER indirect 2005-10-01
STONE TOWER FUND MANAGEMENT LLC MANAGER indirect 2001-09-01
STONE TOWER FUND MANAGEMENT LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2005-08-01
APOLLO ST FUND MANAGEMENT LLC MEMBER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF INVESTMENT OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC LIMITED PARTNER indirect 2005-10-01
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2016-07-01
STONE TOWER EQUITY PARTNERS LLC SOLE MEMBER indirect 2006-03-01
I/ST EQUITY PARTNERS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2006-05-01
BLANK, PAUL, STUART CHIEF OPERATING OFFICER; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF OPERATING OFFICER direct 2016-07-01
KA FUND ADVISORS, LLC CHIEF OPERATING OFFICER direct 2016-07-01
QUINN, TERRENCE, JEROME VICE CHAIRMAN; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP VICE CHAIRMAN direct 2016-07-01
MCCARTHY, KEVIN, SLATTERY MANAGING PARTNER AND VICE CHAIRMAN; LIMITED PARTNER 06/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC MANAGING PARTNER direct 2004-06-01
KA FUND ADVISORS, LLC CO-MANAGING PARTNER direct 2004-06-01
RABIL, ALBERT MANAGING PARTNER AND CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 12/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING PARTNER AND CHIEF EXECUTIVE OFFIER direct 2007-12-01
HOLLINGSWORTH, JARVIS, VINCENT GENERAL COUNSEL; LIMITED PARTNER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL COUNSEL direct 2019-05-01
KA FUND ADVISORS, LLC GENERAL COUNSEL OF MANAGER direct 2019-05-01
KA HOLDINGS, INC. OWNER KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER indirect 1995-08-01
KA FUND ADVISORS, LLC OWNER indirect 1995-08-01 2012-04-17
KAYNE, RICHARD, ALAN OWNER, PRESIDENT & DIRECTOR KA HOLDINGS, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 OWNER KA HOLDINGS, INC. 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
MUHLENKAMP & CO INC SHAREHOLDER direct 1983-02-01 2002-04-22
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR & PRESIDENT direct 1992-10-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
SUCCESSFUL MONEY STRATEGIES INC CHIEF INVESTMENT OFFICER direct 1993-03-01 2002-05-07
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-09-01 2002-05-14
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-12-01 2002-05-14
PLANNERS FINANCIAL SERVICES, INC. BOARD MEMBER direct 1984-03-01 2002-05-24
PACIFIC CAPITAL PLANNING COMPANY OWNER direct 1997-09-01 2002-05-24
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 1998-03-01 2002-05-31
R.V. KUHNS & ASSOCIATES, INC. TREASURER indirect 1986-01-01 2002-06-25
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 1994-10-01 2002-07-22
TRUSTED SECURITIES ADVISORS CORP. CHAIRMAN AND DIRECTOR direct 1998-08-01 2002-07-24
AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
EQUITY ANALYSTS INC. SHAREHOLDER direct 1998-09-01 2002-09-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2002-09-23
1717 CAPITAL MANAGEMENT COMPANY DIRECTOR direct 1998-11-01 2002-09-26
KILLIAN ASSET MANAGEMENT CORP PRESIDENT direct 1987-04-01 2002-10-11
ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-10-16
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-03-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-11-01 2002-10-21
ARTHURS, LESTRANGE & COMPANY INCORPORATED OUTSIDE SHAREHOLDER direct 1986-03-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDER direct 1997-12-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDERS direct 1997-12-01 2002-10-31
BERGER & ASSOCIATES LLC MANAGER & 100% OWNER direct 1997-04-01 2002-12-04
MUHLENKAMP & CO INC SHAREHOLDER indirect 1983-02-01 2002-12-18
THE DANFORTH ASSOCIATES, INC VICE PRESIDENT & DIRECTOR direct 1994-09-01 2002-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY GENERAL COUNSEL & SECRETARY direct 1996-08-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1992-01-01 2003-01-10
MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
MEMORIAL INVESTMENT ADVISORS INC VP AND CFO direct 1998-10-01 2003-01-14
LAUREL MANAGEMENT CO LLC MEMBER direct 1995-07-01 2003-01-15
CLARK FINANCIAL SERVICES GROUP INC PRESIDENT direct 1987-01-01 2003-01-24
ROLF ADLER GROUP INC PRESIDENT direct 1987-12-01 2003-01-25
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1984-01-01 2003-02-05
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) DIRECTOR OF COMPLIANCE direct 1997-03-01 2003-02-07
THE DANFORTH ASSOCIATES, INC DIRECTOR direct 1994-09-01 2003-02-14
GURUN, INC. PRESIDENT direct 1986-03-01 2003-02-27
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PRIMECAP MANAGEMENT CO VICE CHAIRMAN direct 1983-09-01 2004-10-26
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GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/SECRETARY direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. SHAREHOLDER/CHAIRMAN EMERITUS direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. DIRECTOR direct 1991-04-01 2007-02-09
A. G. EDWARDS & SONS, INC. CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT direct 1980-06-01 2007-02-16
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1994-01-01 2007-02-27
MAXWELL NOLL INC DIRECTOR direct 1988-07-01 2007-03-01
HART REALTY ADVISERS, INC. MANAGING PARTNER--INVESTMENT TRANSACTIONS direct 1987-12-01 2007-03-02
THE MILLER FINANCIAL GROUP, INC. TRUSTEE indirect 1992-04-01 2007-03-09
ORGANIC CAPITAL MANAGEMENT INC PRESIDENT direct 1998-02-01 2007-03-23
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1987-05-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1997-04-01 2007-03-28
THE PORTOLA GROUP INC SHAREHOLDER direct 1997-06-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-09-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY PRESIDENT, INDIVIDUAL BUSINESS direct 1998-03-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1975-07-01 2007-03-28
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-05-01 2007-03-30
GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
Anderson, John, E. TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01
Munzig, Judith, G. TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01
ANDERSON, WILLIAM, STEWART TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KAYNE ANDERSON REAL ESTATE OPPORTUNISTIC DEBT, L.P. United States 805-1500262701 Real Estate Fund 1,490,300,000 25,000,000
KAYNE SENIOR CREDIT FUND IV-B, L.P. United States 805-5541063687 Private Equity Fund 74,700,000 2,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS VI, L.P. United States 805-6162548464 Real Estate Fund 1,121,800,000 2,000,000
KAYNE ANDERSON RENEWABLE ENERGY TRANSITION FUND, L.P. United States 805-2966500285 Hedge Fund 8,810,000 1,000,000
KAFRG INVESTORS, L.P. United States 805-1419332746 Private Equity Fund 0 0
KAYNE ANDERSON REAL ESTATE DEBT IV, L.P. United States 805-6937249857 Real Estate Fund 413,700,000 2,000,000
KAYNE CLO 9, LTD. Cayman Islands 805-1330845786 Securitized Asset Fund 450,500,000 1,000,000
KAYNE CLO VII, LTD. Cayman Islands 805-6689225698 Securitized Asset Fund 609,200,000 1,000,000
KAYNE CLO VIII, LTD. Cayman Islands 805-1024520666 Securitized Asset Fund 305,300,000 1,000,000
KAYNE ANDERSON CAPITAL INCOME PARTNERS (QP), L.P. United States 805-1837445437 Hedge Fund 117,200,000 500,000
KAYNE SENIOR CREDIT FUND II, LP United States 805-7337555914 Private Equity Fund 80,700,000 2,000,000
KAYNE PRIVATE ENERGY INCOME PARALLEL FUND, L.P. United States 805-8758985856 Hedge Fund 496,900,000 10,000,000
KAYNE NEWROAD VENTURES FUND II, L.P. United States 805-1485874883 Hedge Fund 136,100,000 500,000
KAYNE REAL ESTATE DEBT PARTNERS II, L.P. United States 805-7185694742 Real Estate Fund 9,600,000 1,000,000
KAYNE ANDERSON ENERGY FUND IV (QP), L.P. United States 805-7931076685 Hedge Fund 18,200,000 3,000,000
KAYNE SIMPLIFIED MIDSTREAM, L.P. United States 805-4492096807 Hedge Fund 262,300,000 1,000,000
KAYNE PARTNERS FUND III (QP), L.P. United States 805-1219843945 Hedge Fund 254,600,000 500,000
KAYNE ANDERSON MIDSTREAM INSTITUTIONAL FUND, L.P. United States 805-8854467105 Hedge Fund 191,100,000 5,000,000
KAYNE CLO 10, LTD. Cayman Islands 805-8421029645 Securitized Asset Fund 21,650,000 1,000,000
KAKIF, L.P. United States 805-9325479808 Real Estate Fund 0 25,000,000
KADIV, L.P. United States 805-8740925528 Real Estate Fund 101,000,000 100,000,000
KADM INVESTORS, LLC United States 805-6598146049 Real Estate Fund 15,778,000 0
KAYNE CREDIT OPPORTUNITIES FUND (QP), L.P. United States 805-2125021634 Private Equity Fund 95,500,000 2,000,000
NW PRIVATE DEBT, LLC United States 805-6640098624 Private Equity Fund 21,300,000 0
CANYON MIDSTREAM CO-INVESTMENT, LLC United States 805-4038655871 Private Equity Fund 97,800,000 5,000,000
KAYNE SOLUTIONS FUND, L.P. United States 805-9523354938 Private Equity Fund 529,900,000 2,000,000
KAYNE RENEWABLE ENERGY INCOME FUND, L.P. United States 805-8630667782 Hedge Fund 2,400,000 1,000,000
AGGIES, LLC United States 805-8933764140 Private Equity Fund 3,200,000 0
KAYNE ANDERSON ENERGY FUND IV, L.P. United States 805-2662570297 Hedge Fund 800,000 3,000,000
KAYNE ANDERSON ENERGY FUND VII, L.P. United States 805-6714239402 Hedge Fund 718,900,000 1,000,000
KAFU HOLDINGS (QP), L.P. United States 805-5054497341 Hedge Fund 134,400,000 0
KAYNE PARTNERS FUND II, L.P. United States 805-2461585349 Hedge Fund 5,800,000 500,000
KANTI (QP), L.P. United States 805-2687820389 Hedge Fund 123,100,000 2,000,000 Fund of Funds
KAMOB INVESTORS, LLC United States 805-1523396127 Real Estate Fund 13,800,000 0
RFXCEL/COINVESTMENT FUND, L.P. United States 805-3174667738 Private Equity Fund 18,300,000 0
KAYNE CREDIT OPPORTUNITIES FUND, L.P. United States 805-1811944831 Private Equity Fund 2,100,000 2,000,000
KAYNE ANDERSON MEZZANINE PARTNERS (QP), L.P. United States 805-5495801483 Private Equity Fund 15,700,000 2,000,000
KAYNE ANDERSON INFRASTRUCTURE INCOME FUND, L.P. United States 805-6976558487 Hedge Fund 341,400,000 1,000,000
KA-TP V, LLC United States 805-5673109126 Real Estate Fund 9,200,000 0
KAYNE PARTNERS FUND III, L.P. United States 805-6201785739 Hedge Fund 6,200,000 500,000
KAREP V 21 CLARK STREET CO-INVESTMENT FUND, L.P. United States 805-3943137859 Real Estate Fund 35,200,000 0
KAYNE PRIVATE ENERGY INCOME FUND II, L.P. United States 805-3587634327 Hedge Fund 1,411,800,000 10,000,000
TERRA CO-INVESTMENT LLC United States 805-4997023028 Private Equity Fund 185,500,000 0
KA-TP IV, LLC United States 805-2849529017 Real Estate Fund 10,900,000 0
KAYNE REAL ESTATE DEBT PARTNERS IV, L.P. United States 805-7084814644 Real Estate Fund 9,600,000 1,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS III, L.P. United States 805-3811652255 Real Estate Fund 59,000,000 2,000,000
KAYNE CLO PARTNERS FUND I, L.P. United States 805-9662796314 Hedge Fund 145,000,000 2,000,000 Fund of Funds
KAYNE GLOBAL INFRASTRUCTURE FUND, L.P. United States 805-6040739128 Hedge Fund 0 1,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS VI OFFSHORE MASTER, L.P. United States 805-2693677884 Real Estate Fund 21,600,000 2,000,000 Master Fund
KAYNE LIQUID CREDIT FUND, L.P. United States 805-1217838182 Hedge Fund 120,900,000 250,000
KAMOB INVESTORS III, L.P. United States 805-7162828896 Real Estate Fund 174,500,000 2,000,000
HPK PARTNERS, LLC United States 805-4829159492 Private Equity Fund 194,000,000 0
KAYNE ANDERSON REAL ESTATE PARTNERS II (QP), L.P. United States 805-3937979503 Real Estate Fund 0 2,000,000
KAYNE PRIVATE ENERGY INCOME FUND, L.P. United States 805-3604524277 Hedge Fund 1,028,300,000 10,000,000
KAYNE CLO I, LTD. Cayman Islands 805-7111159390 Securitized Asset Fund 394,600,000 1,000,000
KAYNE CLO V, LTD. Cayman Islands 805-8131481730 Securitized Asset Fund 435,200,000 1,000,000
KASH INVESTORS, LLC United States 805-1784574042 Real Estate Fund 15,900,000 0
KAYNE ANDERSON RENEWABLE INFRASTRUCTURE PARTNERS, L.P. United States 805-7924784291 Hedge Fund 225,700,000 1,000,000
KAYNE CLO III, LTD. Cayman Islands 805-2466813355 Securitized Asset Fund 441,500,000 1,000,000
KAYNE ANDERSON CORE REAL ESTATE, L.P. United States 805-2330165305 Real Estate Fund 1,419,800,000 10,000,000 Feeder Fund
KAYNE ANDERSON ENERGY FUND V (QP), L.P. United States 805-2894749898 Hedge Fund 129,900,000 5,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS II, L.P. United States 805-8562643985 Real Estate Fund 0 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT, L.P. United States 805-9784385556 Real Estate Fund 204,400,000 2,000,000
KAYNE ANDERSON MEZZANINE PARTNERS, L.P. United States 805-4417087299 Private Equity Fund 600,000 2,000,000
KAYNE PARTNERS FUND V, L.P. United States 805-8968463793 Hedge Fund 107,725,000 1,000,000
KAYNE SENIOR CREDIT IV-B MINI-MASTER FUND, L.P. Cayman Islands 805-9381522976 Private Equity Fund 1,300,000 2,000,000 Master Fund
KAEF VIII CASILLAS II CO-INVESTMENT FUND, L.P. United States 805-8936925963 Hedge Fund 16,500,000 0
KARBO, L.P. United States 805-3229970974 Hedge Fund 27,000,000 2,000,000
KAYNE ANDERSON CORE INTERMEDIATE FUND, L.P. United States 805-8669858690 Real Estate Fund 538,700,000 10,000,000 Master Fund
KAYNE REAL ESTATE DEBT PARTNERS I, L.P. United States 805-4288806108 Real Estate Fund 100,000 2,000,000
KASS II INVESTORS, LLC United States 805-8434604243 Real Estate Fund 36,200,000 0
KAYNE ANDERSON MEZZANINE PARTNERS OFFSHORE, L.P. Cayman Islands 805-9383851147 Private Equity Fund 800,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT III, L.P. United States 805-6752737649 Real Estate Fund 937,200,000 2,000,000
KAYNE ANDERSON ENERGY FUND V, L.P. United States 805-1951572717 Hedge Fund 3,400,000 5,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS V, L.P. United States 805-1753303700 Real Estate Fund 2,166,400,000 2,000,000
FLYWHEEL CO-INVESTMENT LLC United States 805-9900217155 Private Equity Fund 328,200,000 0
KAYNE ANDERSON MLP FUND, L.P. United States 805-7412155675 Hedge Fund 413,000,000 1,000,000
KAYNE MULTIPLE STRATEGY FUND, L.P. United States 805-4433520387 Hedge Fund 23,900,000 0
KAYNE ANDERSON ENERGY FUND VI, L.P. United States 805-6916255345 Hedge Fund 367,300,000 5,000,000
KAYNE PARTNERS FUND IV, L.P. United States 805-1296715794 Hedge Fund 7,400,000 1,000,000
KAYNE ANDERSON NON-TRADITIONAL INVESTMENTS, L.P. United States 805-6269760266 Hedge Fund 19,100,000 2,000,000 Fund of Funds
KAYNE SENIOR CREDIT FUND III, L.P. United States 805-1860372919 Private Equity Fund 361,200,000 2,000,000
KAYNE SENIOR CREDIT FUND IV, L.P. United States 805-5007743853 Private Equity Fund 252,400,000 2,000,000
KAYNE CLO PARTNERS FUND II, L.P. United States 805-3425810875 Hedge Fund 622,500,000 2,000,000 Fund of Funds
KAYNE SENIOR CREDIT II MINI-MASTER FUND, L.P. Cayman Islands 805-2919605686 Private Equity Fund 72,700,000 2,000,000 Master Fund
KAYNE ANDERSON INCOME PARTNERS, L.P. United States 805-3840438146 Hedge Fund 9,400,000 250,000
KAYNE SOLUTIONS MINI-MASTER FUND, L.P. Cayman Islands 805-1452969161 Private Equity Fund 20,500,000 2,000,000 Master Fund
KAYNE SENIOR CREDIT III MINI-MASTER FUND, L.P. Cayman Islands 805-3393553356 Private Equity Fund 1,227,100,000 2,000,000 Master Fund
KAYNE REAL ESTATE DEBT PARTNERS V, L.P. United States 805-7202700155 Real Estate Fund 13,200,000 1,000,000
KAYNE SENIOR CREDIT IV MINI-MASTER FUND, L.P. Cayman Islands 805-2750984467 Private Equity Fund 493,100,000 2,000,000 Master Fund
KAYNE CLO II, LTD. Cayman Islands 805-9075653582 Securitized Asset Fund 393,100,000 1,000,000
KAYNE SAYBROOK MUNICIPAL OPPORTUNITY FUND, L.P. United States 805-6898485464 Hedge Fund 91,100,000 1,000,000
KAYNE CLO VI, LTD. Cayman Islands 805-1800672657 Securitized Asset Fund 397,500,000 1,000,000
KROP LOAN AGGREGATOR, L.P. United States 805-1101715189 Private Equity Fund 0 2,000,000 Master Fund
KROP EQUITY AGGREGATOR, L.P. United States 805-8474333229 Private Equity Fund 555,200,000 2,000,000 Master Fund
KAYNE ANDERSON REAL ESTATE PARTNERS IV, L.P. United States 805-9639755713 Real Estate Fund 739,300,000 2,000,000
KAYNE KS CREDIT FUND, L.P. United States 805-6919795781 Hedge Fund 73,800,000 0
KAYNE CLO IV, LTD. Cayman Islands 805-5062120877 Securitized Asset Fund 296,000,000 1,000,000
KAYNE PARTNERS FUND, L.P. United States 805-4174297803 Hedge Fund 2,700,000 500,000
KAMOB INVESTORS II, LLC United States 805-8791981286 Real Estate Fund 17,400,000 0
KAYNE PRIVATE ENERGY INCOME FUND II-B, L.P. United States 805-7674010562 Hedge Fund 446,300,000 10,000,000
KAYNE ANDERSON REAL ESTATE DEBT II, L.P. United States 805-9754473414 Real Estate Fund 733,500,000 2,000,000
KAYNE PARTNERS FUND IV (QP), L.P. United States 805-8512311304 Hedge Fund 533,200,000 1,000,000
KAYNE EQUITY YIELD STRATEGIES, L.P. United States 805-4768502746 Hedge Fund 33,400,000 1,000,000
KAYNE ANDERSON REAL ASSETS FUND, L.P. United States 805-4830759918 Hedge Fund 2,200,000 250,000
KAYNE ANDERSON ENERGY FUND VIII, L.P. United States 805-1615267745 Hedge Fund 638,900,000 1,000,000
SEARCH OPTICS/KPF COINVESTMENT FUND, L.P. United States 805-4807796318 Private Equity Fund 600,000 0
KA SPECIAL K, L.P. United States 805-8785362221 Hedge Fund 286,600,000 0
KAYNE REAL ESTATE DEBT PARTNERS III, L.P. United States 805-2008659193 Real Estate Fund 8,400,000 1,000,000
KASS INVESTORS, LLC United States 805-1590332541 Real Estate Fund 55,500,000 0
KAYNE ANDERSON REAL ESTATE PARTNERS V PARALLEL FUND, L.P. United States 805-2434738188 Real Estate Fund 271,500,000 2,000,000

KAYNE ANDERSON CAPITAL ADVISORS LP

ownership team - last updated 2020-10-30
Name Title Start Date Direct/Indirect % Ownership
KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. GENERAL PARTNER 06/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL PARTNER direct 1994-06-01
KA FUND ADVISORS, LLC GENERAL PARTNER indirect 1994-06-01 2012-04-17
KAYNE, RICHARD, ALAN CO-CHAIRMAN & FOUNDER; LIMITED PARTNER 06/01/1994 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SINNOTT, ROBERT, VOSE CO-CHAIRMAN; LIMITED PARTNER 04/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC CO-CHAIRMAN OF MANAGER direct 2010-04-01
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN direct 2010-04-01
KA FUND ADVISORS, LLC CO-CHAIRMAN indirect 2016-07-01
KA FUND ADVISORS, LLC MANAGING DIRECTOR indirect 1997-01-01 2010-03-23
KAYNE ANDERSON FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER OF MANAGER direct 1997-01-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING DIRECTOR direct 1997-01-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER OFFICER OF MANAGER direct 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-04-01 2016-03-29
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2010-04-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-04-01 2016-09-28
STAPLETON, PAUL, FRANCIS CHIEF FINANCIAL OFFICER; LIMITED PARTNER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF FINANCIAL OFFICER direct 2011-03-01
O'NEIL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
KA FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
SAYBROOK FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
LEVITT, MICHAEL, JEFFREY CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2016-07-01
STONE TOWER DEBT ADVISORS LLC MANAGER indirect 2001-09-01
STONE TOWER DEBT ADVISORS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER direct 2005-08-01
APOLLO ST DEBT ADVISORS LLC MEMBER direct 2005-08-01
STONE TOWER DEBT ADVISORS LLC LIMITED PARTNER indirect 2005-10-01
STONE TOWER FUND MANAGEMENT LLC MANAGER indirect 2001-09-01
STONE TOWER FUND MANAGEMENT LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2005-08-01
APOLLO ST FUND MANAGEMENT LLC MEMBER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF INVESTMENT OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC LIMITED PARTNER indirect 2005-10-01
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2016-07-01
STONE TOWER EQUITY PARTNERS LLC SOLE MEMBER indirect 2006-03-01
I/ST EQUITY PARTNERS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2006-05-01
BLANK, PAUL, STUART CHIEF OPERATING OFFICER; LIMITED PARTNER 07/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF OPERATING OFFICER direct 2016-07-01
KA FUND ADVISORS, LLC CHIEF OPERATING OFFICER direct 2016-07-01
QUINN, TERRENCE, JEROME VICE CHAIRMAN; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP VICE CHAIRMAN direct 2016-07-01
MCCARTHY, KEVIN, SLATTERY MANAGING PARTNER AND VICE CHAIRMAN; LIMITED PARTNER 06/01/2004 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC MANAGING PARTNER direct 2004-06-01
KA FUND ADVISORS, LLC CO-MANAGING PARTNER direct 2004-06-01
RABIL, ALBERT MANAGING PARTNER AND CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING PARTNER AND CHIEF EXECUTIVE OFFIER direct 2007-12-01
HOLLINGSWORTH, JARVIS, VINCENT GENERAL COUNSEL; LIMITED PARTNER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL COUNSEL direct 2019-05-01
KA FUND ADVISORS, LLC GENERAL COUNSEL OF MANAGER direct 2019-05-01
KA HOLDINGS, INC. OWNER KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER indirect 1995-08-01
KA FUND ADVISORS, LLC OWNER indirect 1995-08-01 2012-04-17
KAYNE, RICHARD, ALAN OWNER, PRESIDENT & DIRECTOR KA HOLDINGS, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 OWNER KA HOLDINGS, INC. 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
MUHLENKAMP & CO INC SHAREHOLDER direct 1983-02-01 2002-04-22
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR & PRESIDENT direct 1992-10-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
SUCCESSFUL MONEY STRATEGIES INC CHIEF INVESTMENT OFFICER direct 1993-03-01 2002-05-07
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-09-01 2002-05-14
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-12-01 2002-05-14
PLANNERS FINANCIAL SERVICES, INC. BOARD MEMBER direct 1984-03-01 2002-05-24
PACIFIC CAPITAL PLANNING COMPANY OWNER direct 1997-09-01 2002-05-24
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 1998-03-01 2002-05-31
R.V. KUHNS & ASSOCIATES, INC. TREASURER indirect 1986-01-01 2002-06-25
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 1994-10-01 2002-07-22
TRUSTED SECURITIES ADVISORS CORP. CHAIRMAN AND DIRECTOR direct 1998-08-01 2002-07-24
AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
EQUITY ANALYSTS INC. SHAREHOLDER direct 1998-09-01 2002-09-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2002-09-23
1717 CAPITAL MANAGEMENT COMPANY DIRECTOR direct 1998-11-01 2002-09-26
KILLIAN ASSET MANAGEMENT CORP PRESIDENT direct 1987-04-01 2002-10-11
ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-10-16
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-03-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-11-01 2002-10-21
ARTHURS, LESTRANGE & COMPANY INCORPORATED OUTSIDE SHAREHOLDER direct 1986-03-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDER direct 1997-12-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDERS direct 1997-12-01 2002-10-31
BERGER & ASSOCIATES LLC MANAGER & 100% OWNER direct 1997-04-01 2002-12-04
MUHLENKAMP & CO INC SHAREHOLDER indirect 1983-02-01 2002-12-18
THE DANFORTH ASSOCIATES, INC VICE PRESIDENT & DIRECTOR direct 1994-09-01 2002-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY GENERAL COUNSEL & SECRETARY direct 1996-08-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1992-01-01 2003-01-10
MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
MEMORIAL INVESTMENT ADVISORS INC VP AND CFO direct 1998-10-01 2003-01-14
LAUREL MANAGEMENT CO LLC MEMBER direct 1995-07-01 2003-01-15
CLARK FINANCIAL SERVICES GROUP INC PRESIDENT direct 1987-01-01 2003-01-24
ROLF ADLER GROUP INC PRESIDENT direct 1987-12-01 2003-01-25
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1984-01-01 2003-02-05
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) DIRECTOR OF COMPLIANCE direct 1997-03-01 2003-02-07
THE DANFORTH ASSOCIATES, INC DIRECTOR direct 1994-09-01 2003-02-14
GURUN, INC. PRESIDENT direct 1986-03-01 2003-02-27
WILLINGHAM ASSET MANAGEMENT INC PRESIDENT direct 1995-11-01 2003-03-03
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1992-07-01 2003-03-03
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GREAT LAKES ADVISORS, INC. SHAREHOLDER/CHAIRMAN EMERITUS direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. DIRECTOR direct 1991-04-01 2007-02-09
A. G. EDWARDS & SONS, INC. CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT direct 1980-06-01 2007-02-16
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1994-01-01 2007-02-27
MAXWELL NOLL INC DIRECTOR direct 1988-07-01 2007-03-01
HART REALTY ADVISERS, INC. MANAGING PARTNER--INVESTMENT TRANSACTIONS direct 1987-12-01 2007-03-02
THE MILLER FINANCIAL GROUP, INC. TRUSTEE indirect 1992-04-01 2007-03-09
ORGANIC CAPITAL MANAGEMENT INC PRESIDENT direct 1998-02-01 2007-03-23
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1987-05-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1997-04-01 2007-03-28
THE PORTOLA GROUP INC SHAREHOLDER direct 1997-06-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-09-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY PRESIDENT, INDIVIDUAL BUSINESS direct 1998-03-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1975-07-01 2007-03-28
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-05-01 2007-03-30
GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
Anderson, John, E. TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01
Munzig, Judith, G. TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01
ANDERSON, WILLIAM, STEWART TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KAYNE SENIOR CREDIT IV-B MINI-MASTER FUND, L.P. Cayman Islands 805-9381522976 Private Equity Fund 1,325,000 2,000,000 Master Fund
KAEF VIII CASILLAS II CO-INVESTMENT FUND, L.P. United States 805-8936925963 Hedge Fund 35,400,000 0
KAYNE ANDERSON MEZZANINE PARTNERS, L.P. United States 805-4417087299 Private Equity Fund 800,000 2,000,000
KARBO, L.P. United States 805-3229970974 Hedge Fund 18,700,000 2,000,000
KAYNE ANDERSON CORE INTERMEDIATE FUND, L.P. United States 805-8669858690 Real Estate Fund 289,800,000 10,000,000 Master Fund
KAYNE REAL ESTATE DEBT PARTNERS I, L.P. United States 805-4288806108 Private Equity Fund 53,800,000 2,000,000
SEARCH OPTICS/KPF COINVESTMENT FUND, L.P. United States 805-4807796318 Private Equity Fund 2,000,000 0
KA SPECIAL K, L.P. United States 805-8785362221 Hedge Fund 292,400,000 0
KAYNE REAL ESTATE DEBT PARTNERS III, L.P. United States 805-2008659193 Private Equity Fund 8,300,000 1,000,000
KAYNE ANDERSON ENERGY FUND VIII, L.P. United States 805-1615267745 Hedge Fund 1,031,100,000 1,000,000
KASS INVESTORS, LLC United States 805-1590332541 Real Estate Fund 54,400,000 0
KAYNE ANDERSON REAL ESTATE PARTNERS V PARALLEL FUND, L.P. United States 805-2434738188 Real Estate Fund 240,500,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT II, L.P. United States 805-9754473414 Private Equity Fund 873,200,000 2,000,000
KAYNE ANDERSON CAPITAL INCOME PARTNERS (QP), L.P. United States 805-1837445437 Hedge Fund 207,600,000 500,000
KAYNE SENIOR CREDIT FUND II, LP United States 805-7337555914 Private Equity Fund 114,800,000 2,000,000
KAYNE PRIVATE ENERGY INCOME PARALLEL FUND, L.P. United States 805-8758985856 Hedge Fund 513,500,000 10,000,000
KAYNE NEWROAD VENTURES FUND II, L.P. United States 805-1485874883 Hedge Fund 116,000,000 500,000
KAYNE REAL ESTATE DEBT PARTNERS II, L.P. United States 805-7185694742 Private Equity Fund 9,700,000 1,000,000
KAYNE ANDERSON ENERGY FUND IV (QP), L.P. United States 805-7931076685 Hedge Fund 20,600,000 3,000,000
KAYNE ANDERSON PRIVATE INVESTORS - REAL ESTATE, L.P. United States 805-6020597512 Real Estate Fund 5,000 0
KAYNE SIMPLIFIED MIDSTREAM, L.P. United States 805-4492096807 Hedge Fund 236,200,000 1,000,000
KAYNE PARTNERS FUND III (QP), L.P. United States 805-1219843945 Hedge Fund 287,900,000 500,000
KAYNE ANDERSON MIDSTREAM INSTITUTIONAL FUND, L.P. United States 805-8854467105 Hedge Fund 446,300,000 5,000,000
KAYNE SOLUTIONS MINI-MASTER FUND, L.P. Cayman Islands 805-1452969161 Private Equity Fund 20,400,000 2,000,000 Master Fund
KAYNE REAL ESTATE DEBT PARTNERS V, L.P. United States 805-7202700155 Private Equity Fund 15,000,000 1,000,000
KAYNE CLO II, LTD. Cayman Islands 805-9075653582 Securitized Asset Fund 398,900,000 1,000,000
KAYNE SAYBROOK MUNICIPAL OPPORTUNITY FUND, L.P. United States 805-6898485464 Hedge Fund 89,300,000 1,000,000
KAYNE CLO VI, LTD. Cayman Islands 805-1800672657 Securitized Asset Fund 398,200,000 1,000,000
KAYNE ANDERSON ENERGY FUND VI, L.P. United States 805-6916255345 Hedge Fund 1,095,000,000 5,000,000
KAYNE PARTNERS FUND IV, L.P. United States 805-1296715794 Hedge Fund 6,600,000 1,000,000
KAYNE ANDERSON NON-TRADITIONAL INVESTMENTS, L.P. United States 805-6269760266 Hedge Fund 43,400,000 2,000,000 Fund of Funds
KAFU HOLDINGS (QP), L.P. United States 805-5054497341 Hedge Fund 304,200,000 0
KAYNE PARTNERS FUND II, L.P. United States 805-2461585349 Hedge Fund 12,500,000 500,000
KANTI (QP), L.P. United States 805-2687820389 Hedge Fund 170,800,000 2,000,000 Fund of Funds
KAMOB INVESTORS, LLC United States 805-1523396127 Real Estate Fund 13,600,000 0
RFXCEL/COINVESTMENT FUND, L.P. United States 805-3174667738 Private Equity Fund 17,100,000 0
KAYNE SENIOR CREDIT FUND III, L.P. United States 805-1860372919 Private Equity Fund 421,200,000 2,000,000
KAYNE ANDERSON INCOME PARTNERS, L.P. United States 805-3840438146 Hedge Fund 12,800,000 250,000
KAYNE SENIOR CREDIT FUND IV, L.P. United States 805-5007743853 Private Equity Fund 188,100,000 2,000,000
KAYNE CLO PARTNERS FUND II, L.P. United States 805-3425810875 Hedge Fund 206,200,000 2,000,000 Fund of Funds
KAYNE SENIOR CREDIT II MINI-MASTER FUND, L.P. Cayman Islands 805-2919605686 Private Equity Fund 99,000,000 2,000,000 Master Fund
KAYNE SENIOR CREDIT III MINI-MASTER FUND, L.P. Cayman Islands 805-3393553356 Private Equity Fund 1,407,800,000 2,000,000 Master Fund
KAYNE SENIOR CREDIT IV MINI-MASTER FUND, L.P. Cayman Islands 805-2750984467 Private Equity Fund 563,200,000 2,000,000 Master Fund
KROP LOAN AGGREGATOR, L.P. United States 805-1101715189 Private Equity Fund 0 2,000,000 Master Fund
KADM INVESTORS, LLC United States 805-6598146049 Real Estate Fund 15,800,000 0
KAYNE CREDIT OPPORTUNITIES FUND (QP), L.P. United States 805-2125021634 Private Equity Fund 137,400,000 2,000,000
NW PRIVATE DEBT, LLC United States 805-6640098624 Private Equity Fund 30,300,000 0
KAYNE PRIVATE ENERGY INCOME FUND II, L.P. United States 805-3587634327 Hedge Fund 1,365,900,000 10,000,000
KAYNE PARTNERS FUND IV (QP), L.P. United States 805-8512311304 Hedge Fund 475,200,000 1,000,000
KAYNE EQUITY YIELD STRATEGIES, L.P. United States 805-4768502746 Hedge Fund 31,100,000 1,000,000
KAYNE ANDERSON REAL ASSETS FUND, L.P. United States 805-4830759918 Hedge Fund 13,600,000 250,000
KAYNE ANDERSON REAL ESTATE PARTNERS IV, L.P. United States 805-9639755713 Real Estate Fund 780,600,000 2,000,000
KAYNE ANDERSON INFRASTRUCTURE INCOME FUND, L.P. United States 805-6976558487 Hedge Fund 352,500,000 1,000,000
KA-TP V, LLC United States 805-5673109126 Real Estate Fund 6,900,000 0
KAYNE PARTNERS FUND III, L.P. United States 805-6201785739 Hedge Fund 6,900,000 500,000
KAYNE ANDERSON MEZZANINE PARTNERS (QP), L.P. United States 805-5495801483 Private Equity Fund 18,900,000 2,000,000
KAREP V 21 CLARK STREET CO-INVESTMENT FUND, L.P. United States 805-3943137859 Real Estate Fund 25,000,000 0
KAYNE SENIOR CREDIT FUND, L.P. United States 805-8508606031 Private Equity Fund 0 2,000,000
KAYNE CREDIT OPPORTUNITIES FUND, L.P. United States 805-1811944831 Private Equity Fund 3,000,000 2,000,000
KA-TP IV, LLC United States 805-2849529017 Real Estate Fund 9,400,000 0
KAYNE LIQUID CREDIT FUND, L.P. United States 805-1217838182 Hedge Fund 160,000,000 250,000
KAYNE ANDERSON REAL ESTATE PARTNERS II (QP), L.P. United States 805-3937979503 Real Estate Fund 10,600,000 2,000,000
KAYNE PRIVATE ENERGY INCOME FUND, L.P. United States 805-3604524277 Hedge Fund 1,053,900,000 10,000,000
KAYNE CLO I, LTD. Cayman Islands 805-7111159390 Securitized Asset Fund 400,000,000 1,000,000
KAYNE CLO V, LTD. Cayman Islands 805-8131481730 Securitized Asset Fund 447,500,000 1,000,000
KASH INVESTORS, LLC United States 805-1784574042 Real Estate Fund 13,900,000 0
KAYNE ANDERSON RENEWABLE INFRASTRUCTURE PARTNERS, L.P. United States 805-7924784291 Hedge Fund 69,304,000 1,000,000
KAYNE CLO III, LTD. Cayman Islands 805-2466813355 Securitized Asset Fund 449,300,000 1,000,000
KAYNE ANDERSON CORE REAL ESTATE, L.P. United States 805-2330165305 Real Estate Fund 1,584,700,000 10,000,000 Feeder Fund
KAYNE ANDERSON ENERGY FUND V (QP), L.P. United States 805-2894749898 Hedge Fund 146,400,000 5,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS II, L.P. United States 805-8562643985 Real Estate Fund 300,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT, L.P. United States 805-9784385556 Private Equity Fund 253,900,000 2,000,000
KASS II INVESTORS, LLC United States 805-8434604243 Real Estate Fund 30,300,000 0
CANYON MIDSTREAM CO-INVESTMENT, LLC United States 805-4038655871 Private Equity Fund 104,600,000 5,000,000
KAYNE SOLUTIONS FUND, L.P. United States 805-9523354938 Private Equity Fund 500,900,000 2,000,000
KAYNE RENEWABLE ENERGY INCOME FUND, L.P. United States 805-8630667782 Hedge Fund 48,400,000 1,000,000
KAYNE ANDERSON ENERGY FUND IV, L.P. United States 805-2662570297 Hedge Fund 900,000 3,000,000
KAYNE ANDERSON ENERGY FUND V, L.P. United States 805-1951572717 Hedge Fund 3,900,000 5,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS V, L.P. United States 805-1753303700 Real Estate Fund 1,863,800,000 2,000,000
FLYWHEEL CO-INVESTMENT LLC United States 805-9900217155 Private Equity Fund 291,100,000 0
KAYNE ANDERSON MLP FUND, L.P. United States 805-7412155675 Hedge Fund 626,600,000 1,000,000
KAYNE MULTIPLE STRATEGY FUND, L.P. United States 805-4433520387 Hedge Fund 114,000,000 0
KAYNE KS CREDIT FUND, L.P. United States 805-6919795781 Hedge Fund 89,400,000 0
KAMOB INVESTORS III, L.P. United States 805-7162828896 Real Estate Fund 171,700,000 2,000,000
KROP EQUITY AGGREGATOR, L.P. United States 805-8474333229 Private Equity Fund 303,600,000 2,000,000 Master Fund
HPK PARTNERS, LLC United States 805-4829159492 Private Equity Fund 125,000,000 0
KAYNE CLO IV, LTD. Cayman Islands 805-5062120877 Securitized Asset Fund 299,400,000 1,000,000
KAYNE SENIOR CREDIT FUND (QP), L.P. United States 805-2518321000 Private Equity Fund 200,000 2,000,000
KAYNE ANDERSON MEZZANINE PARTNERS OFFSHORE, L.P. Cayman Islands 805-9383851147 Private Equity Fund 1,000,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT III, L.P. United States 805-6752737649 Real Estate Fund 1,195,300,000 2,000,000
KAYNE PARTNERS FUND, L.P. United States 805-4174297803 Hedge Fund 5,000,000 500,000
KAMOB INVESTORS II, LLC United States 805-8791981286 Real Estate Fund 17,900,000 0
KAYNE PRIVATE ENERGY INCOME FUND II-B, L.P. United States 805-7674010562 Hedge Fund 446,300,000 10,000,000
KAYNE REAL ESTATE DEBT PARTNERS IV, L.P. United States 805-7084814644 Private Equity Fund 9,200,000 1,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS III, L.P. United States 805-3811652255 Real Estate Fund 58,200,000 2,000,000
TERRA CO-INVESTMENT LLC United States 805-4997023028 Private Equity Fund 174,700,000 0
KAYNE CLO PARTNERS FUND I, L.P. United States 805-9662796314 Hedge Fund 182,200,000 2,000,000 Fund of Funds
AGGIES, LLC United States 805-8933764140 Private Equity Fund 5,800,000 0
KAYNE ANDERSON ENERGY FUND VII, L.P. United States 805-6714239402 Hedge Fund 1,790,000,000 1,000,000
KAYNE GLOBAL INFRASTRUCTURE FUND, L.P. United States 805-6040739128 Hedge Fund 7,800,000 1,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS VI OFFSHORE MASTER, L.P. United States 805-2693677884 Real Estate Fund 17,216,000 2,000,000 Master Fund
KAYNE ANDERSON REAL ESTATE OPPORTUNISTIC DEBT II, L.P. United States 805-6312999910 Real Estate Fund 0 2,000,000

KAYNE ANDERSON CAPITAL ADVISORS LP

ownership team - last updated 2020-09-16
Name Title Start Date Direct/Indirect % Ownership
KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. GENERAL PARTNER 06/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL PARTNER direct 1994-06-01
KA FUND ADVISORS, LLC GENERAL PARTNER indirect 1994-06-01 2012-04-17
KAYNE, RICHARD, ALAN CO-CHAIRMAN & FOUNDER; LIMITED PARTNER 06/01/1994 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SINNOTT, ROBERT, VOSE CO-CHAIRMAN; LIMITED PARTNER 04/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC CO-CHAIRMAN OF MANAGER direct 2010-04-01
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN direct 2010-04-01
KA FUND ADVISORS, LLC CO-CHAIRMAN indirect 2016-07-01
KA FUND ADVISORS, LLC MANAGING DIRECTOR indirect 1997-01-01 2010-03-23
KAYNE ANDERSON FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER OF MANAGER direct 1997-01-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING DIRECTOR direct 1997-01-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER OFFICER OF MANAGER direct 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-04-01 2016-03-29
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2010-04-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-04-01 2016-09-28
STAPLETON, PAUL, FRANCIS CHIEF FINANCIAL OFFICER; LIMITED PARTNER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF FINANCIAL OFFICER direct 2011-03-01
O'NEIL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
KA FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
SAYBROOK FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
LEVITT, MICHAEL, JEFFREY CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2016-07-01
STONE TOWER DEBT ADVISORS LLC MANAGER indirect 2001-09-01
STONE TOWER DEBT ADVISORS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER direct 2005-08-01
APOLLO ST DEBT ADVISORS LLC MEMBER direct 2005-08-01
STONE TOWER DEBT ADVISORS LLC LIMITED PARTNER indirect 2005-10-01
STONE TOWER FUND MANAGEMENT LLC MANAGER indirect 2001-09-01
STONE TOWER FUND MANAGEMENT LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2005-08-01
APOLLO ST FUND MANAGEMENT LLC MEMBER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF INVESTMENT OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC LIMITED PARTNER indirect 2005-10-01
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2016-07-01
STONE TOWER EQUITY PARTNERS LLC SOLE MEMBER indirect 2006-03-01
I/ST EQUITY PARTNERS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2006-05-01
BLANK, PAUL, STUART CHIEF OPERATING OFFICER; LIMITED PARTNER 07/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF OPERATING OFFICER direct 2016-07-01
KA FUND ADVISORS, LLC CHIEF OPERATING OFFICER direct 2016-07-01
QUINN, TERRENCE, JEROME VICE CHAIRMAN; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP VICE CHAIRMAN direct 2016-07-01
MCCARTHY, KEVIN, SLATTERY MANAGING PARTNER AND VICE CHAIRMAN; LIMITED PARTNER 06/01/2004 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC MANAGING PARTNER direct 2004-06-01
KA FUND ADVISORS, LLC CO-MANAGING PARTNER direct 2004-06-01
RABIL, ALBERT MANAGING PARTNER AND CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING PARTNER AND CHIEF EXECUTIVE OFFIER direct 2007-12-01
HOLLINGSWORTH, JARVIS, VINCENT GENERAL COUNSEL; LIMITED PARTNER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL COUNSEL direct 2019-05-01
KA FUND ADVISORS, LLC GENERAL COUNSEL OF MANAGER direct 2019-05-01
KA HOLDINGS, INC. OWNER KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER indirect 1995-08-01
KA FUND ADVISORS, LLC OWNER indirect 1995-08-01 2012-04-17
KAYNE, RICHARD, ALAN OWNER, PRESIDENT & DIRECTOR KA HOLDINGS, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 OWNER KA HOLDINGS, INC. 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
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TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
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STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
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SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
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BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
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SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
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J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
MUHLENKAMP & CO INC SHAREHOLDER direct 1983-02-01 2002-04-22
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR & PRESIDENT direct 1992-10-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
SUCCESSFUL MONEY STRATEGIES INC CHIEF INVESTMENT OFFICER direct 1993-03-01 2002-05-07
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-09-01 2002-05-14
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-12-01 2002-05-14
PLANNERS FINANCIAL SERVICES, INC. BOARD MEMBER direct 1984-03-01 2002-05-24
PACIFIC CAPITAL PLANNING COMPANY OWNER direct 1997-09-01 2002-05-24
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 1998-03-01 2002-05-31
R.V. KUHNS & ASSOCIATES, INC. TREASURER indirect 1986-01-01 2002-06-25
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 1994-10-01 2002-07-22
TRUSTED SECURITIES ADVISORS CORP. CHAIRMAN AND DIRECTOR direct 1998-08-01 2002-07-24
AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
EQUITY ANALYSTS INC. SHAREHOLDER direct 1998-09-01 2002-09-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2002-09-23
1717 CAPITAL MANAGEMENT COMPANY DIRECTOR direct 1998-11-01 2002-09-26
KILLIAN ASSET MANAGEMENT CORP PRESIDENT direct 1987-04-01 2002-10-11
ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-10-16
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-03-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-11-01 2002-10-21
ARTHURS, LESTRANGE & COMPANY INCORPORATED OUTSIDE SHAREHOLDER direct 1986-03-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDER direct 1997-12-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDERS direct 1997-12-01 2002-10-31
BERGER & ASSOCIATES LLC MANAGER & 100% OWNER direct 1997-04-01 2002-12-04
MUHLENKAMP & CO INC SHAREHOLDER indirect 1983-02-01 2002-12-18
THE DANFORTH ASSOCIATES, INC VICE PRESIDENT & DIRECTOR direct 1994-09-01 2002-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY GENERAL COUNSEL & SECRETARY direct 1996-08-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1992-01-01 2003-01-10
MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
MEMORIAL INVESTMENT ADVISORS INC VP AND CFO direct 1998-10-01 2003-01-14
LAUREL MANAGEMENT CO LLC MEMBER direct 1995-07-01 2003-01-15
CLARK FINANCIAL SERVICES GROUP INC PRESIDENT direct 1987-01-01 2003-01-24
ROLF ADLER GROUP INC PRESIDENT direct 1987-12-01 2003-01-25
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1984-01-01 2003-02-05
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) DIRECTOR OF COMPLIANCE direct 1997-03-01 2003-02-07
THE DANFORTH ASSOCIATES, INC DIRECTOR direct 1994-09-01 2003-02-14
GURUN, INC. PRESIDENT direct 1986-03-01 2003-02-27
WILLINGHAM ASSET MANAGEMENT INC PRESIDENT direct 1995-11-01 2003-03-03
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1992-07-01 2003-03-03
JULIUS BAER SECURITIES INC. DIRECTOR direct 1996-05-01 2003-03-14
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 1994-12-01 2003-03-14
THE DE BURLO GROUP,INC. SENIOR VICE PRESIDENT direct 1996-03-01 2003-03-18
THE DE BURLO GROUP,INC. PRESIDENT direct 1987-10-01 2003-03-18
THE DE BURLO GROUP,INC. SECRETARY direct 1987-10-01 2003-03-18
THE DE BURLO GROUP,INC. DIRECTOR direct 1987-10-01 2003-03-18
PERKINS, WOLF, MCDONNELL & CO. SHAREHOLDER direct 1983-03-01 2003-03-26
KEENE & ASSOCIATES, INC. PRESIDENT, DIRECTOR direct 1994-09-01 2003-03-26
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HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A & B SHARES direct 1985-03-01 2003-03-27
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER direct 1995-01-01 2003-03-27
BUCKINGHAM CAPITAL MANAGEMENT INC DIRECTOR direct 1985-05-01 2003-03-28
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COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1972-05-01 2003-03-31
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CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT direct 1997-09-01 2003-12-18
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PRIMECAP MANAGEMENT CO VICE CHAIRMAN direct 1983-09-01 2004-10-26
PRIMECAP MANAGEMENT CO PRESIDENT direct 1983-09-01 2004-10-26
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METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1975-07-01 2007-03-28
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-05-01 2007-03-30
GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
Anderson, John, E. TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01
Munzig, Judith, G. TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01
ANDERSON, WILLIAM, STEWART TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP TRUSTEE OF SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 indirect 2017-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KAYNE ANDERSON ENERGY FUND IV (QP), L.P. United States 805-7931076685 Hedge Fund 20,600,000 3,000,000
KAYNE ANDERSON PRIVATE INVESTORS - REAL ESTATE, L.P. United States 805-6020597512 Real Estate Fund 5,000 0
KAYNE SIMPLIFIED MIDSTREAM, L.P. United States 805-4492096807 Hedge Fund 236,200,000 1,000,000
KAYNE PARTNERS FUND III (QP), L.P. United States 805-1219843945 Hedge Fund 287,900,000 500,000
KAYNE ANDERSON MIDSTREAM INSTITUTIONAL FUND, L.P. United States 805-8854467105 Hedge Fund 446,300,000 5,000,000
KAYNE SOLUTIONS MINI-MASTER FUND, L.P. Cayman Islands 805-1452969161 Private Equity Fund 20,400,000 2,000,000 Master Fund
KAYNE REAL ESTATE DEBT PARTNERS V, L.P. United States 805-7202700155 Private Equity Fund 15,000,000 1,000,000
KAYNE CLO II, LTD. Cayman Islands 805-9075653582 Securitized Asset Fund 398,900,000 1,000,000
KAYNE SAYBROOK MUNICIPAL OPPORTUNITY FUND, L.P. United States 805-6898485464 Hedge Fund 89,300,000 1,000,000
KAYNE CLO VI, LTD. Cayman Islands 805-1800672657 Securitized Asset Fund 398,200,000 1,000,000
KAYNE ANDERSON ENERGY FUND VI, L.P. United States 805-6916255345 Hedge Fund 1,095,000,000 5,000,000
KAYNE PARTNERS FUND IV, L.P. United States 805-1296715794 Hedge Fund 6,600,000 1,000,000
KAYNE ANDERSON NON-TRADITIONAL INVESTMENTS, L.P. United States 805-6269760266 Hedge Fund 43,400,000 2,000,000 Fund of Funds
KAFU HOLDINGS (QP), L.P. United States 805-5054497341 Hedge Fund 304,200,000 0
KAYNE PARTNERS FUND II, L.P. United States 805-2461585349 Hedge Fund 12,500,000 500,000
KANTI (QP), L.P. United States 805-2687820389 Hedge Fund 170,800,000 2,000,000 Fund of Funds
KAMOB INVESTORS, LLC United States 805-1523396127 Real Estate Fund 13,600,000 0
RFXCEL/COINVESTMENT FUND, L.P. United States 805-3174667738 Private Equity Fund 17,100,000 0
KA-TP IV, LLC United States 805-2849529017 Real Estate Fund 9,400,000 0
KAYNE LIQUID CREDIT FUND, L.P. United States 805-1217838182 Hedge Fund 160,000,000 250,000
KAYNE EQUITY YIELD STRATEGIES, L.P. United States 805-4768502746 Hedge Fund 31,100,000 1,000,000
KAYNE ANDERSON REAL ASSETS FUND, L.P. United States 805-4830759918 Hedge Fund 13,600,000 250,000
KAYNE ANDERSON REAL ESTATE PARTNERS IV, L.P. United States 805-9639755713 Real Estate Fund 780,600,000 2,000,000
KAYNE ANDERSON INFRASTRUCTURE INCOME FUND, L.P. United States 805-6976558487 Hedge Fund 352,500,000 1,000,000
KA-TP V, LLC United States 805-5673109126 Real Estate Fund 6,900,000 0
KAYNE PARTNERS FUND III, L.P. United States 805-6201785739 Hedge Fund 6,900,000 500,000
KAYNE ANDERSON MEZZANINE PARTNERS (QP), L.P. United States 805-5495801483 Private Equity Fund 18,900,000 2,000,000
KAREP V 21 CLARK STREET CO-INVESTMENT FUND, L.P. United States 805-3943137859 Real Estate Fund 25,000,000 0
KAYNE SENIOR CREDIT FUND, L.P. United States 805-8508606031 Private Equity Fund 0 2,000,000
KAYNE CREDIT OPPORTUNITIES FUND, L.P. United States 805-1811944831 Private Equity Fund 3,000,000 2,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS II (QP), L.P. United States 805-3937979503 Real Estate Fund 10,600,000 2,000,000
KAYNE PRIVATE ENERGY INCOME FUND, L.P. United States 805-3604524277 Hedge Fund 1,053,900,000 10,000,000
KAYNE CLO I, LTD. Cayman Islands 805-7111159390 Securitized Asset Fund 400,000,000 1,000,000
KAYNE CLO V, LTD. Cayman Islands 805-8131481730 Securitized Asset Fund 447,500,000 1,000,000
KASH INVESTORS, LLC United States 805-1784574042 Real Estate Fund 13,900,000 0
KAYNE ANDERSON RENEWABLE INFRASTRUCTURE PARTNERS, L.P. United States 805-7924784291 Hedge Fund 69,304,000 1,000,000
KAYNE CLO III, LTD. Cayman Islands 805-2466813355 Securitized Asset Fund 449,300,000 1,000,000
KAYNE ANDERSON CORE REAL ESTATE, L.P. United States 805-2330165305 Real Estate Fund 1,584,700,000 10,000,000 Feeder Fund
KAYNE ANDERSON ENERGY FUND V (QP), L.P. United States 805-2894749898 Hedge Fund 146,400,000 5,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS II, L.P. United States 805-8562643985 Real Estate Fund 300,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT, L.P. United States 805-9784385556 Private Equity Fund 253,900,000 2,000,000
KASS II INVESTORS, LLC United States 805-8434604243 Real Estate Fund 30,300,000 0
CANYON MIDSTREAM CO-INVESTMENT, LLC United States 805-4038655871 Private Equity Fund 104,600,000 5,000,000
KAYNE SOLUTIONS FUND, L.P. United States 805-9523354938 Private Equity Fund 500,900,000 2,000,000
KAYNE RENEWABLE ENERGY INCOME FUND, L.P. United States 805-8630667782 Hedge Fund 48,400,000 1,000,000
KAYNE ANDERSON ENERGY FUND IV, L.P. United States 805-2662570297 Hedge Fund 900,000 3,000,000
KAYNE ANDERSON ENERGY FUND V, L.P. United States 805-1951572717 Hedge Fund 3,900,000 5,000,000
KAYNE ANDERSON INCOME PARTNERS, L.P. United States 805-3840438146 Hedge Fund 12,800,000 250,000
KAYNE SENIOR CREDIT FUND IV, L.P. United States 805-5007743853 Private Equity Fund 188,100,000 2,000,000
KAYNE CLO PARTNERS FUND II, L.P. United States 805-3425810875 Hedge Fund 206,200,000 2,000,000 Fund of Funds
KAYNE SENIOR CREDIT II MINI-MASTER FUND, L.P. Cayman Islands 805-2919605686 Private Equity Fund 99,000,000 2,000,000 Master Fund
KAYNE SENIOR CREDIT III MINI-MASTER FUND, L.P. Cayman Islands 805-3393553356 Private Equity Fund 1,407,800,000 2,000,000 Master Fund
KAYNE SENIOR CREDIT IV MINI-MASTER FUND, L.P. Cayman Islands 805-2750984467 Private Equity Fund 563,200,000 2,000,000 Master Fund
KROP LOAN AGGREGATOR, L.P. United States 805-1101715189 Private Equity Fund 0 2,000,000 Master Fund
KADM INVESTORS, LLC United States 805-6598146049 Real Estate Fund 15,800,000 0
NW PRIVATE DEBT, LLC United States 805-6640098624 Private Equity Fund 30,300,000 0
KAYNE PRIVATE ENERGY INCOME FUND II, L.P. United States 805-3587634327 Hedge Fund 1,365,900,000 10,000,000
KAYNE PARTNERS FUND IV (QP), L.P. United States 805-8512311304 Hedge Fund 475,200,000 1,000,000
KAYNE SENIOR CREDIT FUND III, L.P. United States 805-1860372919 Private Equity Fund 421,200,000 2,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS V, L.P. United States 805-1753303700 Real Estate Fund 1,863,800,000 2,000,000
FLYWHEEL CO-INVESTMENT LLC United States 805-9900217155 Private Equity Fund 291,100,000 0
KAYNE ANDERSON MLP FUND, L.P. United States 805-7412155675 Hedge Fund 626,600,000 1,000,000
KAYNE MULTIPLE STRATEGY FUND, L.P. United States 805-4433520387 Hedge Fund 114,000,000 0
KAYNE KS CREDIT FUND, L.P. United States 805-6919795781 Hedge Fund 89,400,000 0
KAMOB INVESTORS III, L.P. United States 805-7162828896 Real Estate Fund 171,700,000 2,000,000
KROP EQUITY AGGREGATOR, L.P. United States 805-8474333229 Private Equity Fund 303,600,000 2,000,000 Master Fund
HPK PARTNERS, LLC United States 805-4829159492 Private Equity Fund 125,000,000 0
KAYNE CLO IV, LTD. Cayman Islands 805-5062120877 Securitized Asset Fund 299,400,000 1,000,000
KAYNE SENIOR CREDIT FUND (QP), L.P. United States 805-2518321000 Private Equity Fund 200,000 2,000,000
KAYNE ANDERSON MEZZANINE PARTNERS OFFSHORE, L.P. Cayman Islands 805-9383851147 Private Equity Fund 1,000,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT III, L.P. United States 805-6752737649 Real Estate Fund 1,195,300,000 2,000,000
KAEF VIII CASILLAS II CO-INVESTMENT FUND, L.P. United States 805-8936925963 Hedge Fund 35,400,000 0
KAYNE ANDERSON MEZZANINE PARTNERS, L.P. United States 805-4417087299 Private Equity Fund 800,000 2,000,000
KARBO, L.P. United States 805-3229970974 Hedge Fund 18,700,000 2,000,000
KAYNE ANDERSON CORE INTERMEDIATE FUND, L.P. United States 805-8669858690 Real Estate Fund 289,800,000 10,000,000 Master Fund
KAYNE REAL ESTATE DEBT PARTNERS I, L.P. United States 805-4288806108 Private Equity Fund 53,800,000 2,000,000
SEARCH OPTICS/KPF COINVESTMENT FUND, L.P. United States 805-4807796318 Private Equity Fund 2,000,000 0
KA SPECIAL K, L.P. United States 805-8785362221 Hedge Fund 292,400,000 0
KAYNE REAL ESTATE DEBT PARTNERS III, L.P. United States 805-2008659193 Private Equity Fund 8,300,000 1,000,000
KAYNE ANDERSON ENERGY FUND VIII, L.P. United States 805-1615267745 Hedge Fund 1,031,100,000 1,000,000
KASS INVESTORS, LLC United States 805-1590332541 Real Estate Fund 54,400,000 0
KAYNE ANDERSON REAL ESTATE PARTNERS V PARALLEL FUND, L.P. United States 805-2434738188 Real Estate Fund 240,500,000 2,000,000
KAYNE ANDERSON REAL ESTATE DEBT II, L.P. United States 805-9754473414 Private Equity Fund 873,200,000 2,000,000
KAYNE ANDERSON CAPITAL INCOME PARTNERS (QP), L.P. United States 805-1837445437 Hedge Fund 207,600,000 500,000
KAYNE SENIOR CREDIT FUND II, LP United States 805-7337555914 Private Equity Fund 114,800,000 2,000,000
KAYNE PRIVATE ENERGY INCOME PARALLEL FUND, L.P. United States 805-8758985856 Hedge Fund 513,500,000 10,000,000
KAYNE NEWROAD VENTURES FUND II, L.P. United States 805-1485874883 Hedge Fund 116,000,000 500,000
KAYNE REAL ESTATE DEBT PARTNERS II, L.P. United States 805-7185694742 Private Equity Fund 9,700,000 1,000,000
KAYNE PARTNERS FUND, L.P. United States 805-4174297803 Hedge Fund 5,000,000 500,000
KAMOB INVESTORS II, LLC United States 805-8791981286 Real Estate Fund 17,900,000 0
KAYNE PRIVATE ENERGY INCOME FUND II-B, L.P. United States 805-7674010562 Hedge Fund 446,300,000 10,000,000
KAYNE REAL ESTATE DEBT PARTNERS IV, L.P. United States 805-7084814644 Private Equity Fund 9,200,000 1,000,000
KAYNE ANDERSON REAL ESTATE PARTNERS III, L.P. United States 805-3811652255 Real Estate Fund 58,200,000 2,000,000
KAYNE CREDIT OPPORTUNITIES FUND (QP), L.P. United States 805-2125021634 Private Equity Fund 137,400,000 2,000,000
TERRA CO-INVESTMENT LLC United States 805-4997023028 Private Equity Fund 174,700,000 0
KAYNE CLO PARTNERS FUND I, L.P. United States 805-9662796314 Hedge Fund 182,200,000 2,000,000 Fund of Funds
AGGIES, LLC United States 805-8933764140 Private Equity Fund 5,800,000 0
KAYNE ANDERSON ENERGY FUND VII, L.P. United States 805-6714239402 Hedge Fund 1,790,000,000 1,000,000
KAYNE GLOBAL INFRASTRUCTURE FUND, L.P. United States 805-6040739128 Hedge Fund 7,800,000 1,000,000

KAYNE ANDERSON CAPITAL ADVISORS LP

ownership team - last updated 2020-06-22
Name Title Start Date Direct/Indirect % Ownership
KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. GENERAL PARTNER 06/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL PARTNER direct 1994-06-01
KA FUND ADVISORS, LLC GENERAL PARTNER indirect 1994-06-01 2012-04-17
KAYNE, RICHARD, ALAN CO-CHAIRMAN & FOUNDER; LIMITED PARTNER 06/01/1994 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SINNOTT, ROBERT, VOSE CO-CHAIRMAN; LIMITED PARTNER 04/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC CO-CHAIRMAN OF MANAGER direct 2010-04-01
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN direct 2010-04-01
KA FUND ADVISORS, LLC CO-CHAIRMAN indirect 2016-07-01
KA FUND ADVISORS, LLC MANAGING DIRECTOR indirect 1997-01-01 2010-03-23
KAYNE ANDERSON FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER OF MANAGER direct 1997-01-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING DIRECTOR direct 1997-01-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER OFFICER OF MANAGER direct 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 2010-04-01 2016-03-29
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2010-04-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-04-01 2016-09-28
STAPLETON, PAUL, FRANCIS CHIEF FINANCIAL OFFICER; LIMITED PARTNER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF FINANCIAL OFFICER direct 2011-03-01
O'NEIL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
KA FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
SAYBROOK FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
LEVITT, MICHAEL, JEFFREY CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2016-07-01
STONE TOWER DEBT ADVISORS LLC MANAGER indirect 2001-09-01
STONE TOWER DEBT ADVISORS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2003-03-01
STONE TOWER DEBT ADVISORS LLC PARTNER direct 2005-08-01
APOLLO ST DEBT ADVISORS LLC MEMBER direct 2005-08-01
STONE TOWER DEBT ADVISORS LLC LIMITED PARTNER indirect 2005-10-01
STONE TOWER FUND MANAGEMENT LLC MANAGER indirect 2001-09-01
STONE TOWER FUND MANAGEMENT LLC PARTNER & CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC PARTNER, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2005-08-01
APOLLO ST FUND MANAGEMENT LLC MEMBER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC CHAIRMAN AND CHIEF INVESTMENT OFFICER direct 2005-08-01
STONE TOWER FUND MANAGEMENT LLC LIMITED PARTNER indirect 2005-10-01
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 2016-07-01
STONE TOWER EQUITY PARTNERS LLC SOLE MEMBER indirect 2006-03-01
I/ST EQUITY PARTNERS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2006-05-01
BLANK, PAUL, STUART CHIEF OPERATING OFFICER; LIMITED PARTNER 07/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF OPERATING OFFICER direct 2016-07-01
KA FUND ADVISORS, LLC CHIEF OPERATING OFFICER direct 2016-07-01
QUINN, TERRENCE, JEROME VICE CHAIRMAN; LIMITED PARTNER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP VICE CHAIRMAN direct 2016-07-01
MCCARTHY, KEVIN, SLATTERY MANAGING PARTNER AND VICE CHAIRMAN; LIMITED PARTNER 06/01/2004 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KA FUND ADVISORS, LLC MANAGING PARTNER direct 2004-06-01
KA FUND ADVISORS, LLC CO-MANAGING PARTNER direct 2004-06-01
RABIL, ALBERT MANAGING PARTNER AND CHIEF EXECUTIVE OFFICER; LIMITED PARTNER 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP MANAGING PARTNER AND CHIEF EXECUTIVE OFFIER direct 2007-12-01
HOLLINGSWORTH, JARVIS, VINCENT GENERAL COUNSEL; LIMITED PARTNER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP GENERAL COUNSEL direct 2019-05-01
KA FUND ADVISORS, LLC GENERAL COUNSEL OF MANAGER direct 2019-05-01
KA HOLDINGS, INC. OWNER KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER indirect 1995-08-01
KA FUND ADVISORS, LLC OWNER indirect 1995-08-01 2012-04-17
KAYNE, RICHARD, ALAN OWNER, PRESIDENT & DIRECTOR KA HOLDINGS, INC. 08/01/1995 Indirect Other
Fund Name Position direct/indirect start date end date
KAYNE ANDERSON CAPITAL ADVISORS LP CO-CHAIRMAN & FOUNDER direct 1994-06-01
KAYNE ANDERSON CAPITAL ADVISORS LP OWNER, PRESIDENT & DIRECTOR indirect 1995-08-01
KA FUND ADVISORS, LLC CO-CHAIRMAN & FOUNDER indirect 2010-06-01
KA FUND ADVISORS, LLC CO-CHAIRMAN AND FOUNDER OF MANAGER direct 2016-07-01
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC MANAGEMENT COMMITTEE CO-CHAIR & CHIEF EXECUTIVE OFFICER direct 1995-08-01 2005-03-29
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC FOUNDER direct 2005-09-01 2006-03-16
KAYNE ANDERSON FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER OF MANAGER direct 1994-06-01 2010-03-23
KA FUND ADVISORS, LLC CHIEF EXECUTIVE OFFICER indirect 1994-06-01 2010-03-23
KAYNE ANDERSON CAPITAL ADVISORS LP CHIEF EXECUTIVE OFFICER direct 1994-06-01 2011-12-22
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER indirect 2010-06-01 2011-12-22
KA FUND ADVISORS, LLC OWNER, PRESIDENT & DIRECTOR indirect 2010-06-01 2012-04-17
KA FUND ADVISORS, LLC CHAIRMAN AND FOUNDER OF MANAGER direct 2010-06-01 2016-03-29
KA FUND ADVISORS, LLC CHAIRMAN & FOUNDER indirect 2010-06-01 2016-03-29
KAYNE ANDERSON CAPITAL ADVISORS LP CHAIRMAN & FOUNDER direct 1994-06-01 2016-09-28
SURVIVORS' TRUST UNDER THE JOHN AND MARION ANDERSON TRUST A, DATED JULY 30, 2002 OWNER KA HOLDINGS, INC. 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR