DOUGLAS LANE & ASSOCIATES, LLC

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Also known as:

  • DOUGLAS LANE & ASSOCIATES LLC

Douglas Lane & Associates is based out of New York. Douglas Lane & Associates is a large advisory firm with discretionary assets under management (AUM) of $4,375,351,392 (Form ADV from 2014-08-01). Their last reported 13F filing for Q2 2019 included $5,134,747,000 in managed 13F securities and a top 10 holdings concentration of 21.35%. Douglas Lane & Associates's largest holding is Illumina Inc with shares held of 367,140. Douglas Lane & Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 109 13F filings

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62

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $5.135 Billion
  • Prior Market Value $4.822 Billion
  • New Purchases16 stocks
  • Additional Purchases78 stocks
  • Sold out of16 stocks
  • Reduced holdings in107 stocks
  • Top 10 Holdings % 21.35 %
  • Turnover % [1]:14.35%
  • Turnover Alt % [2]: 3.67 %
  • Time Held Top20:14.15 quarters
  • Time Held Top10:8.40 quarters
  • Time Held All:29.92 quarters

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

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

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 8.9%
Performance Last 4 Quarters: 8.52%
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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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
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  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
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  • 2005-12-31 - 13F-HR (Subscription required)
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  • 2005-09-30 - 13F-HR (Subscription required)
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  • 2001-06-30 - 13F-HR (Subscription required)
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  • 2001-03-31 - 13F-HR (Subscription required)
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View Last Form Adv Compilation Report on Record

DOUGLAS C. LANE & ASSOCIATES, INC.
777 THIRD AVENUE 38TH FLOOR
NEW YORK NY    10017-1307
Country: United States

Business Phone: 212-262-7670
Fax: 212-262-2801
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NY
Number of employees: 32
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 14,125,800
Total Number of Clients: 0
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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DOUGLAS LANE & ASSOCIATES, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER (MANAGER) 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
DEWEES, EDWARD, DAKIN MANAGING PARTNER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, MANAGING DIRECTOR direct 2000-01-01
DOUGLAS LANE & ASSOCIATES, LLC MANAGING PARTNER direct 2016-01-01
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2000-01-01 2012-10-09
SETHI, SARAT MANAGING PARTNER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, MANAGING DIRECTOR direct 2001-01-01
DOUGLAS LANE & ASSOCIATES, LLC MANAGING PARTNER direct 2016-01-01
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2001-01-01 2012-10-09
Solinga-Stasi, Nicole, Anne CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS LANE & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01

DOUGLAS LANE & ASSOCIATES, LLC

ownership team - last updated 2018-04-23
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER (MANAGER) 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
DEWEES, EDWARD, DAKIN MANAGING PARTNER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, MANAGING DIRECTOR direct 2000-01-01
DOUGLAS LANE & ASSOCIATES, LLC MANAGING PARTNER direct 2016-01-01
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2000-01-01 2012-10-09
SETHI, SARAT MANAGING PARTNER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, MANAGING DIRECTOR direct 2001-01-01
DOUGLAS LANE & ASSOCIATES, LLC MANAGING PARTNER direct 2016-01-01
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2001-01-01 2012-10-09
Solinga-Stasi, Nicole, Anne CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS LANE & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
TRIDENT FFP, L.P. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER indirect 2017-07-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2017-07-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2017-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2017-07-01
HOYLECOHEN, LLC MEMBER indirect 2017-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2017-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2017-07-01
BFSG, LLC MEMBER indirect 2017-07-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2017-07-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2017-07-01
WESPAC ADVISORS, LLC MEMBER indirect 2017-07-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2017-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2017-07-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2017-07-01
THE COLONY GROUP, LLC MEMBER indirect 2017-07-01
LVW ADVISORS, LLC MEMBER indirect 2017-07-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2017-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2017-07-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2017-07-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER indirect 2017-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2017-07-01
LAFLEUR & GODFREY LLC MEMBER indirect 2017-07-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2017-07-01
GRATUS CAPITAL, LLC MEMBER indirect 2017-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2017-07-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2017-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER direct 2017-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2017-07-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2017-07-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2017-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2017-07-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2017-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2017-07-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2017-07-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2017-07-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2017-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2017-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2017-07-01
XML FINANCIAL, LLC MEMBER indirect 2017-07-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2017-07-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-07-01
CFO4LIFE GROUP, LLC MEMBER indirect 2017-07-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2017-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-07-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2017-07-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2017-07-01
TRIDENT FFP BLOCKER LLC LIMITED PARTNER TRIDENT FFP, L.P. 05/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LVW ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
VESTOR CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
THE PORTFOLIO STRATEGY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BEIRNE WEALTH CONSULTING SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
TELEMUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
LAFLEUR & GODFREY LLC LIMITED PARTNER indirect 2017-05-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
GRATUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC WEALTH PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER indirect 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER direct 2017-05-01
THE FIDUCIARY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
RELATIVE VALUE PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
FORT PITT CAPITAL GROUP, LLC LIMITED PARTNER indirect 2017-05-01
PATTON ALBERTSON MILLER GROUP, LLC LIMITED PARTNER indirect 2017-05-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC LIMITED PARTNER indirect 2017-05-01
DOUGLAS LANE & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
CARNICK & KUBIK GROUP, LLC LIMITED PARTNER indirect 2017-05-01
WADDELL & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
GYL FINANCIAL SYNERGIES, LLC LIMITED PARTNER indirect 2017-05-01
XML FINANCIAL, LLC LIMITED PARTNER indirect 2017-05-01
CRESTWOOD ADVISORS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
CFO4LIFE GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BORDEAUX WEALTH ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
LAKE STREET ADVISORS GROUP, LLC LIMITED PARTNERS indirect 2017-05-01
BROWNLIE & BRADEN ADVISORS, LLC LIMITED PARTNER, LANTERN MANAGEMENT HOLDINGS, LP indirect 2017-05-01
ETON ADVISORS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
GW & WADE, LLC LIMITED PARTNER indirect 2017-05-01
RESNICK INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SENTINEL PENSION ADVISORS INC LIMITED PARTNER indirect 2017-05-01
SCS CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC POINT INVESTMENT ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
HOYLECOHEN, LLC LIMITED PARTNER indirect 2017-05-01
BAM ADVISOR SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
BUCKINGHAM ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BFSG, LLC LIMITED PARTNER indirect 2017-05-01
JFS WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
LARA, MAY & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
WESPAC ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
JOEL ISAACSON & CO., LLC LIMITED PARTNER indirect 2017-05-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
PETTINGA FINANCIAL ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
THE COLONY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
TRIDENT VI, L.P. LIMITED PARTNER TRIDENT FFP, L.P. 05/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PROVISE MANAGEMENT GROUP, LLC LIMITED PARTNER indirect 2016-06-01
GW & WADE, LLC LIMITED PARTNER indirect 2017-05-01
RESNICK INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SENTINEL PENSION ADVISORS INC LIMITED PARTNER indirect 2017-05-01
BEACON RETIREMENT PLANNING SERVICES INC. LIMITED PARTNER indirect 2016-06-01
SCS CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC POINT INVESTMENT ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
HOYLECOHEN, LLC LIMITED PARTNER indirect 2017-05-01
BAM ADVISOR SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
BUCKINGHAM ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BFSG, LLC LIMITED PARTNER indirect 2017-05-01
JFS WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
LARA, MAY & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
WESPAC ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
KESTRA INSTITUTIONAL SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
JOEL ISAACSON & CO., LLC LIMITED PARTNER indirect 2017-05-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
KESTRA PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
PETTINGA FINANCIAL ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
THE COLONY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
LVW ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
FORMATION CAPITAL, LLC LIMITED PARTNER indirect 2016-04-01
BROADSTONE REAL ESTATE, LLC MANAGING MEMBER indirect 2015-07-01
VESTOR CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
MERRIMAN WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
THE PORTFOLIO STRATEGY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BEIRNE WEALTH CONSULTING SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
TELEMUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
LAFLEUR & GODFREY LLC LIMITED PARTNER indirect 2017-05-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
GRATUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC WEALTH PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER direct 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER indirect 2017-05-01
THE FIDUCIARY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
RELATIVE VALUE PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
FORT PITT CAPITAL GROUP, LLC LIMITED PARTNER indirect 2017-05-01
PATTON ALBERTSON MILLER GROUP, LLC PARTNER indirect 2017-05-01
PATTON ALBERTSON MILLER GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BROADSTONE ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2015-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC LIMITED PARTNER indirect 2017-05-01
DOUGLAS LANE & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
KESTRA ADVISORY SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
CARNICK & KUBIK GROUP, LLC LIMITED PARTNER indirect 2017-05-01
WADDELL & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
GYL FINANCIAL SYNERGIES, LLC LIMITED PARTNER indirect 2017-05-01
XML FINANCIAL, LLC LIMITED PARTNER indirect 2017-05-01
CROSS OCEAN PARTNERS MANAGEMENT LP MANAGING MEMBER indirect 2016-02-01
CRESTWOOD ADVISORS GROUP, LLC LIMITED indirect 2017-05-01
CRESTWOOD ADVISORS GROUP, LLC PARTNER indirect 2017-05-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
CFO4LIFE GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BORDEAUX WEALTH ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
LAKE STREET ADVISORS GROUP, LLC LIMITED indirect 2017-05-01
LAKE STREET ADVISORS GROUP, LLC LIMITED indirect 2017-05-01
BROWNLIE & BRADEN ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
ETON ADVISORS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
TRIDENT VI PARALLEL FUND, L.P. MEMBER TRIDENT FFP BLOCKER LLC 04/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PROVISE MANAGEMENT GROUP, LLC LIMITED PARTNER indirect 2016-06-01
GW & WADE, LLC MEMBER indirect 2017-04-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2017-04-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2017-04-01
BEACON RETIREMENT PLANNING SERVICES INC. LIMITED PARTNER indirect 2016-06-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2017-04-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2017-04-01
HOYLECOHEN, LLC MEMBER indirect 2017-04-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2017-04-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2017-04-01
BFSG, LLC MEMBER indirect 2017-04-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2017-04-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2017-04-01
WESPAC ADVISORS, LLC MEMBER indirect 2017-04-01
KESTRA INSTITUTIONAL SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2017-04-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
KESTRA PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2017-04-01
THE COLONY GROUP, LLC MEMBER indirect 2017-04-01
LVW ADVISORS, LLC MEMBER indirect 2017-04-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2017-04-01
VESTOR CAPITAL, LLC MEMBER indirect 2017-04-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2017-04-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER indirect 2017-04-01
TELEMUS CAPITAL, LLC MEMBER indirect 2017-04-01
LAFLEUR & GODFREY LLC MEMBER indirect 2017-04-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2017-04-01
GRATUS CAPITAL, LLC MEMBER indirect 2017-04-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2017-04-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2017-04-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2017-04-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER direct 2017-04-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2017-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2017-04-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2017-04-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2017-04-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2017-04-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2017-04-01
KESTRA ADVISORY SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2017-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2017-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2017-04-01
XML FINANCIAL, LLC MEMBER indirect 2017-04-01
CROSS OCEAN PARTNERS MANAGEMENT LP MEMBER indirect 2013-07-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2017-04-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-04-01
CFO4LIFE GROUP, LLC MEMBER indirect 2017-04-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2017-04-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2017-04-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2017-04-01

DOUGLAS C. LANE & ASSOCIATES, INC.

ownership team - last updated 2015-03-31
Name Title Start Date Direct/Indirect % Ownership
LANE, DOUGLAS, CALDER PRESIDENT, CEO 07/01/1994 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRESIDENT, CEO direct 1994-07-01
LANE DOUGLAS C & ASSOCIATES INC PRESIDENT direct 1994-07-01 2007-03-30
LANE, SHARON, GAY PRINCIPAL, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF LEGAL OFFICER 07/01/1994 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF LEGAL OFFICER direct 1994-07-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-09-01
LANE DOUGLAS C & ASSOCIATES INC DIRECTOR OF FIN/ADMIN direct 1994-07-01 2004-01-06
LANE DOUGLAS C & ASSOCIATES INC CHIEF OPERATING OFFICER direct 1994-07-01 2005-03-29
LANE DOUGLAS C & ASSOCIATES INC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF LEGAL OFFICER direct 1994-07-01 2007-03-30
DEWEES, EDWARD, DAKIN PRINCIPAL, MANAGING DIRECTOR 01/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, MANAGING DIRECTOR direct 2000-01-01
DOUGLAS LANE & ASSOCIATES, LLC MANAGING PARTNER direct 2016-01-01
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2000-01-01 2012-10-09
SETHI, SARAT PRINCIPAL, MANAGING DIRECTOR 01/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, MANAGING DIRECTOR direct 2001-01-01
DOUGLAS LANE & ASSOCIATES, LLC MANAGING PARTNER direct 2016-01-01
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2001-01-01 2012-10-09
COLUCCI, BARBARA, A PRINCIPAL, CHIEF OPERATIONS OFFICER 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LANE DOUGLAS C & ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 1994-06-01
LANE DOUGLAS C & ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 1994-07-01
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, CHIEF OPERATIONS OFFICER direct 2008-01-01
SINI, JOHN, RALPH PRINCIPAL 01/01/2006 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2006-01-01
VETTO, MATTHEW, LEE PRINCIPAL 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 1970-04-01
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL direct 2007-01-01
MILIC, MARC, VANCE PRINCIPAL 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2008-01-01
SEGAL, ANDREW, P. PRINCIPAL 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2008-01-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-12-01
RAZEWSKI, MICHAEL, S PRINCIPAL 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL direct 2013-01-01
DOUGLAS C. LANE 2012 IRREVOCABLE TRUST EQUITY OWNER 09/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. EQUITY OWNER direct 2012-09-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUST indirect 2012-09-01
GAY LANE 2012 IRREVOCABLE TRUST EQUITY OWNER 12/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. EQUITY OWNER direct 2012-12-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUST indirect 2012-12-01
DOUGLAS C. LANE 2012 IRREVOCABLE TRUST TRUST DOUGLAS C. LANE 2012 IRREVOCABLE TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. EQUITY OWNER direct 2012-09-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUST indirect 2012-09-01
LANE, SHARON, GAY TRUSTEE DOUGLAS C. LANE 2012 IRREVOCABLE TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. PRINCIPAL, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF LEGAL OFFICER direct 1994-07-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-09-01
LANE DOUGLAS C & ASSOCIATES INC DIRECTOR OF FIN/ADMIN direct 1994-07-01 2004-01-06
LANE DOUGLAS C & ASSOCIATES INC CHIEF OPERATING OFFICER direct 1994-07-01 2005-03-29
LANE DOUGLAS C & ASSOCIATES INC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF LEGAL OFFICER direct 1994-07-01 2007-03-30
WILDMAN, WESLEY TRUSTEE DOUGLAS C. LANE 2012 IRREVOCABLE TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-09-01
HANSON, TODD TRUSTEE DOUGLAS C. LANE 2012 IRREVOCABLE TRUST 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-09-01
GAY LANE 2012 IRREVOCABLE TRUST TRUST GAY LANE 2012 IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. EQUITY OWNER direct 2012-12-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUST indirect 2012-12-01
SEGAL, ANDREW, P. TRUSTEE GAY LANE 2012 IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
LANE DOUGLAS C & ASSOCIATES INC PRINCIPAL direct 2008-01-01
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-12-01
LANE, ROBERT, DAVID TRUSTEE GAY LANE 2012 IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-12-01
LANE, JOHN TRUSTEE GAY LANE 2012 IRREVOCABLE TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DOUGLAS C. LANE & ASSOCIATES, INC. TRUSTEE indirect 2012-12-01

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