ORION PORTFOLIO SOLUTIONS, LLC

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Orion Portfolio Solutions is based out of Omaha. Orion Portfolio Solutions is a large advisory firm with 163654 clients and discretionary assets under management (AUM) of $8,738,893,300 (Form ADV from 2020-03-29). Their last reported 13F filing for Q1 2020 included $1,454,873,000 in managed 13F securities and a top 10 holdings concentration of 54.1%. Orion Portfolio Solutions's largest holding is Main Sector Rotation ETF with shares held of 16,175,940. Whalewisdom has at least 2 13F filings

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03/31/2020

13F Activity

  • Market Value $1.455 Billion
  • Prior Market Value $1.273 Billion
  • New Purchases485 stocks
  • Additional Purchases749 stocks
  • Sold out of439 stocks
  • Reduced holdings in702 stocks
  • Top 10 Holdings % 54.10 %
  • Turnover % [1]:43.83%
  • Turnover Alt % [2]: 46.87 %
  • Time Held Top20:0.65 quarters
  • Time Held Top10:0.60 quarters
  • Time Held All:0.77 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.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

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

Performance for Q1 2020: 19.27%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

ORION PORTFOLIO SOLUTIONS, LLC
17605 WRIGHT ST
OMAHA NE    68130
Country: United States

Business Phone: 859-426-2000
Fax: 859-426-2050
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NE
Number of employees: 125
Other Business Activities: ,ASSET ALLOCATION ADMINISTRATION AND RECORDKEEPING
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,ADMINISTRATIVE FEES
Amount of client funds and securities:
Total Number of Clients: 163654
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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ORION PORTFOLIO SOLUTIONS, LLC

ownership team - last updated 2020-03-29
Name Title Start Date Direct/Indirect % Ownership

ORION PORTFOLIO SOLUTIONS, LLC

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
ORION ADVISOR SOLUTIONS, LLC SOLE MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER direct 2018-05-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
BEACH, RYAN, BRUCE PRESIDENT/CHIEF OPERATING OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC PRESIDENT direct 2012-09-01
CLS INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-09-01
APPLEGARTH, MARK, DANIEL CHIEF FINANCIAL OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC TREASURER/CHIEF FINANCIAL OFFICER direct 2006-10-01
CLS INVESTMENT FIRM, LLC CONTROLLER direct 2006-10-01
CLS INVESTMENTS, LLC TREASURER/CONTROLLER direct 2006-10-01
VANNEMAN, JOHN, RUSSEL CHIEF INVESTMENT OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KOBREN INSIGHT MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-09-01
CLS INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2012-09-01
ADVISER INVESTMENTS ACQUISITION CO LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
BEACH, KYLEE, MARIE GENERAL COUNSEL/SECRETARY/ELECTED MANAGER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
CLS INVESTMENTS, LLC GENERAL COUNSEL direct 2012-11-01
HIATT, KYLE, WILLIAM CHIEF REVENUE OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARBOR POINT ADVISORS, LLC MANAGER direct 2016-04-01
CLARKE, ERIC, REESE ELECTED MANAGER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
Baum, Jonathan, Russell ELECTED MANAGER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
WOSTOUPAL, WILLIAM, SAYLER CHIEF OF STRATEGIC RELATIONSHIPS 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARBOR POINT ADVISORS, LLC MANAGER direct 2012-12-01
LAMBERT, RANDY, THOMAS CHIEF OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC CHIEF OPERATIONS OFFICER direct 2019-09-01
NORTHSTAR FINANCIAL SERVICES GROUP, LLC MEMBERS OWNING 100% ORION ADVISOR SOLUTIONS, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER indirect 2015-04-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
Baum, Jonathan, Russell ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01
COOK, DEAN, WILLIAM ELECTED MANAGER NORTHSTAR TOPCO, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01

ORION PORTFOLIO SOLUTIONS, LLC

ownership team - last updated 2019-09-12
Name Title Start Date Direct/Indirect % Ownership
COOK, DEAN, WILLIAM CHIEF EXECUTIVE OFFICER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01
ORION ADVISOR SERVICES, LLC SOLE MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER direct 2018-05-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
BEACH, RYAN, BRUCE PRESIDENT/CHIEF OPERATING OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC PRESIDENT direct 2012-09-01
CLS INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-09-01
APPLEGARTH, MARK, DANIEL CHIEF FINANCIAL OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC TREASURER/CHIEF FINANCIAL OFFICER direct 2006-10-01
CLS INVESTMENT FIRM, LLC CONTROLLER direct 2006-10-01
CLS INVESTMENTS, LLC TREASURER/CONTROLLER direct 2006-10-01
VANNEMAN, JOHN, RUSSEL CHIEF INVESTMENT OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KOBREN INSIGHT MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-09-01
CLS INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2012-09-01
ADVISER INVESTMENTS ACQUISITION CO LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
BEACH, KYLEE, MARIE GENERAL COUNSEL/SECRETARY/ELECTED MANAGER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
CLS INVESTMENTS, LLC GENERAL COUNSEL direct 2012-11-01
HIATT, KYLE, WILLIAM CHIEF REVENUE OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARBOR POINT ADVISORS, LLC MANAGER direct 2016-04-01
CLARKE, ERIC, REESE ELECTED MANAGER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
Baum, Jonathan, Russell ELECTED MANAGER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
WOSTOUPAL, WILLIAM, SAYLER CHIEF OF STRATEGIC RELATIONSHIPS 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARBOR POINT ADVISORS, LLC MANAGER direct 2012-12-01
LAMBERT, RANDY, THOMAS CHIEF OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC CHIEF OPERATIONS OFFICER direct 2019-09-01
NORTHSTAR FINANCIAL SERVICES GROUP, LLC MEMBERS OWNING 100% ORION ADVISOR SERVICES, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER indirect 2015-04-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
Baum, Jonathan, Russell ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01
COOK, DEAN, WILLIAM ELECTED MANAGER NORTHSTAR TOPCO, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01

FTJ FUNDCHOICE, LLC

ownership team - last updated 2019-04-15
Name Title Start Date Direct/Indirect % Ownership
COOK, DEAN, WILLIAM CHIEF EXECUTIVE OFFICER/ELECTED MANAGER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01
NORTHSTAR EYBA, LLC SOLE MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER direct 2018-05-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER/ELECTED MANAGER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
RAWLINS, GREGORY, JAMES CHIEF OPERATING OFFICER/ELECTED MANAGER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC CHIEF OPERATING OFFICER/ELECTED MANAGER direct 2018-07-01
CLS INVESTMENTS, LLC CHIEF OPERATING OFFICER/ELECTED MANAGER direct 2019-01-01
BEACH, RYAN, BRUCE PRESIDENT/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC PRESIDENT direct 2012-09-01
CLS INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-09-01
APPLEGARTH, MARK, DANIEL CHIEF FINANCIAL OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC TREASURER/CHIEF FINANCIAL OFFICER direct 2006-10-01
CLS INVESTMENT FIRM, LLC CONTROLLER direct 2006-10-01
CLS INVESTMENTS, LLC TREASURER/CONTROLLER direct 2006-10-01
KENDALL, CORY, JAMES ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2019-01-01
FTJ FUNDCHOICE, LLC ELECTED MANAGER direct 2019-01-01
VANNEMAN, JOHN, RUSSEL ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KOBREN INSIGHT MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-09-01
CLS INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2012-09-01
ADVISER INVESTMENTS ACQUISITION CO LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
NORTHSTAR FINANCIAL SERVICES GROUP, LLC MEMBERS OWNING 100% NORTHSTAR EYBA, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER indirect 2015-04-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
Baum, Jonathan, Russell ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01

FTJ FUNDCHOICE, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
COOK, DEAN, WILLIAM CHIEF EXECUTIVE OFFICER/ELECTED MANAGER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01
NORTHSTAR EYBA, LLC SOLE MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER direct 2018-05-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER/ELECTED MANAGER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
RAWLINS, GREGORY, JAMES CHIEF OPERATING OFFICER/ELECTED MANAGER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC CHIEF OPERATING OFFICER/ELECTED MANAGER direct 2018-07-01
CLS INVESTMENTS, LLC CHIEF OPERATING OFFICER/ELECTED MANAGER direct 2019-01-01
BEACH, RYAN, BRUCE PRESIDENT/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC PRESIDENT direct 2012-09-01
CLS INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-09-01
APPLEGARTH, MARK, DANIEL CHIEF FINANCIAL OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC TREASURER/CHIEF FINANCIAL OFFICER direct 2006-10-01
CLS INVESTMENT FIRM, LLC CONTROLLER direct 2006-10-01
CLS INVESTMENTS, LLC TREASURER/CONTROLLER direct 2006-10-01
KENDALL, CORY, JAMES ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2019-01-01
FTJ FUNDCHOICE, LLC ELECTED MANAGER direct 2019-01-01
VANNEMAN, JOHN, RUSSEL ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KOBREN INSIGHT MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-09-01
CLS INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2012-09-01
ADVISER INVESTMENTS ACQUISITION CO LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
NORTHSTAR FINANCIAL SERVICES GROUP, LLC MEMBERS OWNING 100% NORTHSTAR EYBA, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER indirect 2015-04-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
Baum, Jonathan, Russell ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01

FTJ FUNDCHOICE, LLC

ownership team - last updated 2018-06-27
Name Title Start Date Direct/Indirect % Ownership
NORTHSTAR EYBA, LLC SOLE MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER direct 2018-05-01
COOK, DEAN, WILLIAM PRESIDENT 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01
MARKGRAF, PHILLIP, CHARLES CHIEF OPERATING OFFICER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT - IT direct 2007-12-01
FTJ FUNDCHOICE, LLC CHIEF OPERATING OFFICER direct 2012-01-01
BILLUPS, JOSEPH, SCOTT CHIEF FINANCIAL OFFICER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC CFO direct 2013-11-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
NORTHSTAR FINANCIAL SERVICES GROUP, LLC MEMBERS OWNING 100% NORTHSTAR EYBA, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER indirect 2015-04-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
Baum, Jonathan, Russell ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01

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