MORNINGSTAR INVESTMENT SERVICES LLC

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Morningstar Investment Services is based out of Chicago. Morningstar Investment Services is a large advisory firm with 56591 clients and discretionary assets under management (AUM) of $12,156,313,782 (Form ADV from 2020-06-24). Their last reported 13F filing for Q2 2020 included $6,086,776,000 in managed 13F securities and a top 10 holdings concentration of 34.62%. Morningstar Investment Services's largest holding is Vanguard Total Bond Market Indx Fund ETF with shares held of 6,100,588. Morningstar Investment Services has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 44 13F filings

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06/30/2020

13F Activity

  • Market Value $6.087 Billion
  • Prior Market Value $5.49 Billion
  • New Purchases14 stocks
  • Additional Purchases52 stocks
  • Sold out of20 stocks
  • Reduced holdings in134 stocks
  • Top 10 Holdings % 34.62 %
  • Turnover % [1]:16.75%
  • Turnover Alt % [2]: 8.10 %
  • Time Held Top20:10.30 quarters
  • Time Held Top10:10.40 quarters
  • Time Held All:16.25 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 25.82%
Performance Last 4 Quarters: -2.35%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

MORNINGSTAR INVESTMENT SERVICES LLC
22 WEST WASHINGTON STREET
CHICAGO IL    60602-1605
Country: United States

Business Phone: 312-696-6000
Fax: 312-696-6630
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 27
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management,AUA AND SHAREHOLDER SERVICING FEES
Amount of client funds and securities: 163,819,000
Total Number of Clients: 56591
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
DUGERY, PETER JOHN VICE PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES, INC VICE PRESIDENT direct 2015-04-01
NEEDHAM, DANIEL PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC PRESIDENT direct 2015-02-01
IBBOTSON ASSOCIATES, INC. PRESIDENT direct 2015-02-01
MORNINGSTAR INVESTMENT SERVICES LLC PRESIDENT direct 2015-04-01
MORNINGSTAR INVESTMENT MANAGEMENT LLC SOLE MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER direct 2015-12-01
LOFTUS, LORI ANN CHIEF COMPLIANCE OFFICER, SECRETARY 11/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC VICE PRESIDENT, COMPLIANCE direct 2003-01-01
LEHMAN BROTHERS ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
NEUBERGER BERMAN FIXED INCOME LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SCHILLING, DONALD SCOTT FINOP 12/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES LLC CHIEF COMPLIANCE OFFICER/FINOP/SECRETARY direct 2000-12-01
MPOWER ADVISORS, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2003-07-01
IBBOTSON ASSOCIATES ADVISORS, LLC CHIEF COMPLIANCE OFFICER AND SECRETARY direct 2006-03-01
MORNINGSTAR ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC CHIEF COMPLIANCE OFFICER AND CORPORATE SECRETARY direct 2016-07-01
MORNINGSTAR ASSOCIATES, LLC COMPLIANCE OFFICER direct 2000-01-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC COMPLIANCE OFFICER direct 2000-12-01 2001-06-29
MPOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC COMPLIANCE OFFICER & SECRETARY direct 2000-01-01 2003-07-28
MPOWER ADVISORS, LLC SECRETARY AND COMPLIANCE OFFICER direct 2003-07-01 2005-04-20
MORNINGSTAR INVESTMENT SERVICES, INC CCO/FINOP direct 2000-12-01 2006-03-08
MORNINGSTAR ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2000-01-01 2013-07-15
IBBOTSON ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2006-03-01 2013-07-15
MORNINGSTAR INVESTMENT SERVICES, INC CHIEF COMPLIANCE OFFICER/FINOP direct 2000-12-01 2015-03-31
MANSUETO, JOSEPH DANIEL SHAREHOLDER MORNINGSTAR INC. 04/01/1984 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. SHAREHOLDER indirect 1984-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SHAREHOLDER indirect 1984-04-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 1984-04-01
MORNINGSTAR RESEARCH SERVICES LLC SHAREHOLDER indirect 1984-04-01
UNITED INCOME, INC. SHAREHOLDER indirect 2005-05-01
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHLDR indirect 1984-04-01 2015-04-10
MORNINGSTAR, INC. SOLE MEMBER MORNINGSTAR INVESTMENT MANAGEMENT LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28

MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2019-09-20
Name Title Start Date Direct/Indirect % Ownership
NEEDHAM, DANIEL PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC PRESIDENT direct 2015-02-01
IBBOTSON ASSOCIATES, INC. PRESIDENT direct 2015-02-01
MORNINGSTAR INVESTMENT SERVICES LLC PRESIDENT direct 2015-04-01
DUGERY, PETER JOHN VICE PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES, INC VICE PRESIDENT direct 2015-04-01
RADGOWSKI, MATTHEW JOSEPH EXECUTIVE VICE PRESIDENT AND TREASURER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC MANAGING DIRECTOR direct 2014-07-01
IBBOTSON ASSOCIATES, INC. MANAGING DIRECTOR direct 2014-07-01
MORNINGSTAR INVESTMENT SERVICES LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2015-04-01
MORNINGSTAR INVESTMENT MANAGEMENT LLC SOLE MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER direct 2015-12-01
LOFTUS, LORI ANN CHIEF COMPLIANCE OFFICER, SECRETARY 11/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC VICE PRESIDENT, COMPLIANCE direct 2003-01-01
LEHMAN BROTHERS ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
NEUBERGER BERMAN FIXED INCOME LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2003-01-01
MANSUETO, JOSEPH DANIEL SHAREHOLDER MORNINGSTAR INC. 04/01/1984 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. SHAREHOLDER indirect 1984-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SHAREHOLDER indirect 1984-04-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 1984-04-01
MORNINGSTAR RESEARCH SERVICES LLC SHAREHOLDER indirect 1984-04-01
UNITED INCOME, INC. SHAREHOLDER indirect 2005-05-01
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHLDR indirect 1984-04-01 2015-04-10
MORNINGSTAR, INC. SOLE MEMBER MORNINGSTAR INVESTMENT MANAGEMENT LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28

MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2019-06-14
Name Title Start Date Direct/Indirect % Ownership
DUGERY, PETER JOHN VICE PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES, INC VICE PRESIDENT direct 2015-04-01
NEEDHAM, DANIEL PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC PRESIDENT direct 2015-02-01
IBBOTSON ASSOCIATES, INC. PRESIDENT direct 2015-02-01
MORNINGSTAR INVESTMENT SERVICES LLC PRESIDENT direct 2015-04-01
RADGOWSKI, MATTHEW JOSEPH EXECUTIVE VICE PRESIDENT AND TREASURER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC MANAGING DIRECTOR direct 2014-07-01
IBBOTSON ASSOCIATES, INC. MANAGING DIRECTOR direct 2014-07-01
MORNINGSTAR INVESTMENT SERVICES LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2015-04-01
MORNINGSTAR INVESTMENT MANAGEMENT LLC SOLE MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER direct 2015-12-01
LOFTUS, LORI ANN CHIEF COMPLIANCE OFFICER, SECRETARY 11/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC VICE PRESIDENT, COMPLIANCE direct 2003-01-01
LEHMAN BROTHERS ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
NEUBERGER BERMAN FIXED INCOME LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2003-01-01
MANSUETO, JOSEPH DANIEL SHAREHOLDER MORNINGSTAR INC. 04/01/1984 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. SHAREHOLDER indirect 1984-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SHAREHOLDER indirect 1984-04-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 1984-04-01
MORNINGSTAR RESEARCH SERVICES LLC SHAREHOLDER indirect 1984-04-01
UNITED INCOME, INC. SHAREHOLDER indirect 2005-05-01
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHLDR indirect 1984-04-01 2015-04-10
MORNINGSTAR, INC. SOLE MEMBER MORNINGSTAR INVESTMENT MANAGEMENT LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28

MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
DUGERY, PETER JOHN VICE PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES, INC VICE PRESIDENT direct 2015-04-01
NEEDHAM, DANIEL PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC PRESIDENT direct 2015-02-01
IBBOTSON ASSOCIATES, INC. PRESIDENT direct 2015-02-01
MORNINGSTAR INVESTMENT SERVICES LLC PRESIDENT direct 2015-04-01
RADGOWSKI, MATTHEW JOSEPH EXECUTIVE VICE PRESIDENT AND TREASURER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC MANAGING DIRECTOR direct 2014-07-01
IBBOTSON ASSOCIATES, INC. MANAGING DIRECTOR direct 2014-07-01
MORNINGSTAR INVESTMENT SERVICES LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2015-04-01
MORNINGSTAR INVESTMENT MANAGEMENT LLC SOLE MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER direct 2015-12-01
LOFTUS, LORI ANN CHIEF COMPLIANCE OFFICER, SECRETARY 11/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC VICE PRESIDENT, COMPLIANCE direct 2003-01-01
LEHMAN BROTHERS ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
NEUBERGER BERMAN FIXED INCOME LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2003-01-01
MANSUETO, JOSEPH DANIEL SHAREHOLDER MORNINGSTAR INC. 04/01/1984 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. SHAREHOLDER indirect 1984-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SHAREHOLDER indirect 1984-04-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 1984-04-01
MORNINGSTAR RESEARCH SERVICES LLC SHAREHOLDER indirect 1984-04-01
UNITED INCOME, INC. SHAREHOLDER indirect 2005-05-01
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHLDR indirect 1984-04-01 2015-04-10
MORNINGSTAR, INC. SOLE MEMBER MORNINGSTAR INVESTMENT MANAGEMENT LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28

MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2018-11-20
Name Title Start Date Direct/Indirect % Ownership
SCHILLING, DONALD SCOTT CHIEF COMPLIANCE OFFICER/FINOP/SECRETARY 12/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES LLC CHIEF COMPLIANCE OFFICER/FINOP/SECRETARY direct 2000-12-01
MPOWER ADVISORS, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2003-07-01
IBBOTSON ASSOCIATES ADVISORS, LLC CHIEF COMPLIANCE OFFICER AND SECRETARY direct 2006-03-01
MORNINGSTAR ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC CHIEF COMPLIANCE OFFICER AND CORPORATE SECRETARY direct 2016-07-01
MORNINGSTAR ASSOCIATES, LLC COMPLIANCE OFFICER direct 2000-01-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC COMPLIANCE OFFICER direct 2000-12-01 2001-06-29
MPOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC COMPLIANCE OFFICER & SECRETARY direct 2000-01-01 2003-07-28
MPOWER ADVISORS, LLC SECRETARY AND COMPLIANCE OFFICER direct 2003-07-01 2005-04-20
MORNINGSTAR INVESTMENT SERVICES, INC CCO/FINOP direct 2000-12-01 2006-03-08
MORNINGSTAR ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2000-01-01 2013-07-15
IBBOTSON ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2006-03-01 2013-07-15
MORNINGSTAR INVESTMENT SERVICES, INC CHIEF COMPLIANCE OFFICER/FINOP direct 2000-12-01 2015-03-31
DUGERY, PETER JOHN VICE PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES, INC VICE PRESIDENT direct 2015-04-01
NEEDHAM, DANIEL PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC PRESIDENT direct 2015-02-01
IBBOTSON ASSOCIATES, INC. PRESIDENT direct 2015-02-01
MORNINGSTAR INVESTMENT SERVICES LLC PRESIDENT direct 2015-04-01
RADGOWSKI, MATTHEW JOSEPH EXECUTIVE VICE PRESIDENT AND TREASURER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC MANAGING DIRECTOR direct 2014-07-01
IBBOTSON ASSOCIATES, INC. MANAGING DIRECTOR direct 2014-07-01
MORNINGSTAR INVESTMENT SERVICES LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2015-04-01
MORNINGSTAR INVESTMENT MANAGEMENT LLC SOLE MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER direct 2015-12-01
MANSUETO, JOSEPH DANIEL SHAREHOLDER MORNINGSTAR INC. 04/01/1984 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. SHAREHOLDER indirect 1984-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SHAREHOLDER indirect 1984-04-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 1984-04-01
MORNINGSTAR RESEARCH SERVICES LLC SHAREHOLDER indirect 1984-04-01
UNITED INCOME, INC. SHAREHOLDER indirect 2005-05-01
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHLDR indirect 1984-04-01 2015-04-10
MORNINGSTAR, INC. SOLE MEMBER MORNINGSTAR INVESTMENT MANAGEMENT LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28

MORNINGSTAR INVESTMENT SERVICES LLC

ownership team - last updated 2017-06-23
Name Title Start Date Direct/Indirect % Ownership
SCHILLING, DONALD SCOTT CHIEF COMPLIANCE OFFICER/FINOP/SECRETARY 12/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES LLC CHIEF COMPLIANCE OFFICER/FINOP/SECRETARY direct 2000-12-01
MPOWER ADVISORS, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2003-07-01
IBBOTSON ASSOCIATES ADVISORS, LLC CHIEF COMPLIANCE OFFICER AND SECRETARY direct 2006-03-01
MORNINGSTAR ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC CHIEF COMPLIANCE OFFICER AND CORPORATE SECRETARY direct 2016-07-01
MORNINGSTAR ASSOCIATES, LLC COMPLIANCE OFFICER direct 2000-01-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC COMPLIANCE OFFICER direct 2000-12-01 2001-06-29
MPOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC COMPLIANCE OFFICER & SECRETARY direct 2000-01-01 2003-07-28
MPOWER ADVISORS, LLC SECRETARY AND COMPLIANCE OFFICER direct 2003-07-01 2005-04-20
MORNINGSTAR INVESTMENT SERVICES, INC CCO/FINOP direct 2000-12-01 2006-03-08
MORNINGSTAR ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2000-01-01 2013-07-15
IBBOTSON ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2006-03-01 2013-07-15
MORNINGSTAR INVESTMENT SERVICES, INC CHIEF COMPLIANCE OFFICER/FINOP direct 2000-12-01 2015-03-31
DUGERY, PETER JOHN VICE PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR INVESTMENT SERVICES, INC VICE PRESIDENT direct 2015-04-01
NEEDHAM, DANIEL PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC PRESIDENT direct 2015-02-01
IBBOTSON ASSOCIATES, INC. PRESIDENT direct 2015-02-01
MORNINGSTAR INVESTMENT SERVICES LLC PRESIDENT direct 2015-04-01
RADGOWSKI, MATTHEW JOSEPH EXECUTIVE VICE PRESIDENT AND TREASURER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC MANAGING DIRECTOR direct 2014-07-01
IBBOTSON ASSOCIATES, INC. MANAGING DIRECTOR direct 2014-07-01
MORNINGSTAR INVESTMENT SERVICES LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2015-04-01
MORNINGSTAR INVESTMENT MANAGEMENT LLC SOLE MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER direct 2015-12-01
MANSUETO, JOSEPH DANIEL SHAREHOLDER MORNINGSTAR INC. 04/01/1984 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. SHAREHOLDER indirect 1984-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SHAREHOLDER indirect 1984-04-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 1984-04-01
MORNINGSTAR RESEARCH SERVICES LLC SHAREHOLDER indirect 1984-04-01
UNITED INCOME, INC. SHAREHOLDER indirect 2005-05-01
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHLDR indirect 1984-04-01 2015-04-10
MORNINGSTAR, INC. SOLE MEMBER MORNINGSTAR INVESTMENT MANAGEMENT LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28

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