PHH INVESTMENTS, LTD.

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PHH Investments, Ltd. is based out of Addison. PHH Investments, Ltd. is a large advisory firm with 3075 clients and discretionary assets under management (AUM) of $2,677,263,499 (Form ADV from 2017-10-01). Their last reported 13F filing for Q4 2018 included $310,264,000 in managed 13F securities and a top 10 holdings concentration of 67.84%. PHH Investments, Ltd.'s largest holding is First Trust TCW Opportunistic Fixed Income ETF with shares held of 935,151. Whalewisdom has at least 10 13F filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $310.264 Million
  • Prior Market Value $343.878 Million
  • New Purchases5 stocks
  • Additional Purchases14 stocks
  • Sold out of3 stocks
  • Reduced holdings in58 stocks
  • Top 10 Holdings % 67.84 %
  • Turnover % [1]:9.76%
  • Turnover Alt % [2]: 23.83 %
  • Time Held Top20:3.95 quarters
  • Time Held Top10:3.40 quarters
  • Time Held All:5.79 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 2019-02-14

Performance for Q4 2018: 2.32%
Performance Last 4 Quarters: -0.25%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 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/A (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

RAA
15725 N. DALLAS PARKWAY SUITE 220
ADDISON TX    75001
Country: United States

Business Phone: 972-233-3367
Fax: 972-233-3188
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Partnership
Organized in: TX
Number of employees: 91
Other Business Activities: accountant or accounting firm
Advisor Fees/Compensation: Percentage of assets under management,CSSA/SERVICE AGREEMENT
Amount of client funds and securities: 230,057,000
Total Number of Clients: 3075
Amount of client funds and securities by related persons: 230,057,000
Total Number of clients from related persons: 451
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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PHH INVESTMENTS, LTD.

ownership team - last updated 2017-11-13
Name Title Start Date Direct/Indirect % Ownership
JBR SWISH, LLC CLASS A LP 03/01/2006 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER direct 2006-03-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2006-03-01
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2006-03-01
PHH INVESTMENTS, LTD. MEMBER indirect 2011-01-01
PHH INVESTMENTS, LTD. MANAGER indirect 2013-01-01
PHH INVESTMENTS, LTD. MANAGER indirect 2013-01-01
MERCHANT, JEREMY, WAYNE CLASS A LP 10/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. VICE PRESIDENT indirect 2005-10-01
PHH INVESTMENTS, LTD. VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER,CLASS A LP direct 2005-10-01
PHH INVESTMENTS, LTD. VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER direct 2005-10-01
PHH INVESTMENTS, LTD. VICE PRESIDENT direct 2005-10-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2005-10-01
SIMMONS, RONALD, ELLIS CHAIRMAN 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSETCOUNSELORS COM LLC MANAGING MEMBER direct 1998-12-01
PHH INVESTMENTS, LTD. CHAIRMAN direct 2007-01-01
MW PRITCHARD HUBBLE & HERR, LLC DIRECTOR direct 2001-01-01 2002-05-22
MW PRITCHARD HUBBLE & HERR, LLC DIRECTOR-COO direct 2001-01-01 2003-06-23
MW PRITCHARD HUBBLE & HERR, LLC DIRECTOR-COO, PRESIDENT direct 2002-12-01 2005-09-14
PRITCHARD, HUBBLE & HERR, LLC DIRECTOR-CEO, PRESIDENT direct 2006-01-01 2006-09-06
PHH INVESTMENTS, LTD. PARTNER indirect 2003-09-01 2007-02-28
PHH INVESTMENTS, LTD. DIRECTOR-CHAIRMAN & CEO direct 2007-01-01 2007-02-28
PHH INVESTMENTS, LTD. DIRECTOR, CHAIRMAN & CEO indirect 2007-01-01 2008-03-28
PHH INVESTMENTS, LTD. DIRECTOR, CHAIRMAN & CEO indirect 2007-01-01 2009-03-27
PHH INVESTMENTS, LTD. DIRECTOR, CHAIRMAN & CEO direct 2007-01-01 2010-03-31
PHH INVESTMENTS, LTD. DIRECTOR, CHAIRMAN & CEO indirect 2007-01-01 2010-03-31
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2011-09-01 2013-03-26
PHH INVESTMENTS, LTD. DIRECTOR, CHAIRMAN direct 2007-01-01 2014-10-09
PHH INVESTMENT MANAGEMENT, LLC GENERAL PARTNER 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. GENERAL PARTNER direct 2006-02-01
J-M TRUST CLASS A LP 04/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
MILLS, KENNETH, HAROLD CLASS A LP 04/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. VICE PRESIDENT direct 2008-04-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2008-04-01
PHH INVESTMENTS, LTD. VICE PRESIDENT, CLASS A LP direct 2008-04-01
BENTLEY, JOHN, CLIFTON PRESIDENT AND CEO 12/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2008-04-01
PHH INVESTMENTS, LTD. TRUSTEE indirect 2008-04-01
PHH INVESTMENTS, LTD. TRUSTEE indirect 2008-04-01
PHH INVESTMENTS, LTD. EXECUTIVE VICE PRESIDENT direct 2010-05-01
PHH INVESTMENTS, LTD. PRESIDENT AND CEO direct 2013-12-01
PHH INVESTMENTS, LTD. PRESIDENT direct 2013-12-01
RB 2013 CONDUIT, LLC CLASS A LP 12/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER, CLASS A LP direct 2013-12-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2013-12-01
PHH INVESTMENTS, LTD. MANAGER indirect 2015-09-01
2011 PHH EQUITY CONDUIT, LLC CLASS A LP 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER, CLASS A LP direct 2011-01-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2011-01-01
2012 PHH EQUITY CONDUIT, LLC CLASS A LP 01/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER, LP direct 2012-01-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2012-01-01
2014 PHH EQUITY CONDUIT, LLC CLASS A LP 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER, LP direct 2014-01-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2014-01-01
HBC RAA LP CLASS A LP 10/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2015-09-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2015-10-01
PHH INVESTMENTS, LTD. MEMBER indirect 2015-10-01
KRASNOV, GARY, JAY CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. CHIEF COMPLIANCE OFFICER direct 2016-07-01
ADVISOR FINANCIAL SERVICES, LLP PARTNER/CHIEF COMPLIANCE OFFICER direct 2010-10-01
BAUMERT, JEFFREY, ALAN CHIEF OPERATIONS OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. CHIEF OPERATIONS OFFICER direct 2017-01-01
ADVISOR FINANCIAL SERVICES, LLP PARTNER/DIRECTOR OF PRIVATE WEALTH MANAGEMENT direct 2006-06-01
ADVISOR FINANCIAL SERVICES, LLP PARTNER/CHIEF INVESTMENT OFFICER direct 2006-06-01
ADVISOR FINANCIAL SERVICES, LLP PARTNER/DIRECTOR OF PRIVATE ACCOUNT SERVICES direct 2006-06-01
ROBERSON, JOHN, BARTON MANAGER JBR SWISH, LLC 03/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2006-03-01
MW PRITCHARD HUBBLE & HERR, LLC DIRECTOR direct 2001-04-01 2006-04-17
PHH INVESTMENTS, LTD. DIRECTOR & EVP direct 2001-04-01 2006-09-06
PHH INVESTMENTS, LTD. DIRECTOR - PRESIDENT & COO direct 2007-01-01 2007-02-28
PHH INVESTMENTS, LTD. PRESIDENT & COO direct 2007-01-01 2010-03-31
PHH INVESTMENTS, LTD. PRESIDENT & CEO direct 2007-01-01 2013-03-26
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2006-03-01 2014-10-09
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2011-09-01 2014-10-09
PHH INVESTMENTS, LTD. MANAGER indirect 2006-03-01 2015-03-25
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01 2015-03-25
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01 2015-03-25
PHH INVESTMENTS, LTD. CEO direct 2007-01-01 2015-06-29
PHH INVESTMENTS, LTD. MANAGER indirect 2011-01-01 2015-06-29
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01 2015-06-29
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01 2015-06-29
BENTLEY, JOHN, CLIFTON TRUSTEE J-M TRUST 04/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2008-04-01
PHH INVESTMENTS, LTD. TRUSTEE indirect 2008-04-01
PHH INVESTMENTS, LTD. TRUSTEE indirect 2008-04-01
PHH INVESTMENTS, LTD. EXECUTIVE VICE PRESIDENT direct 2010-05-01
PHH INVESTMENTS, LTD. PRESIDENT AND CEO direct 2013-12-01
PHH INVESTMENTS, LTD. PRESIDENT direct 2013-12-01
HBC RAA LP MEMBER 2011 PHH EQUITY CONDUIT, LLC 10/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2015-09-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2015-10-01
PHH INVESTMENTS, LTD. MEMBER indirect 2015-10-01
J-M TRUST MEMBER 2012 PHH EQUITY CONDUIT, LLC 01/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
J-M TRUST MEMBER 2014 PHH EQUITY CONDUIT, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
J-M TRUST MANAGER RB 2013 CONDUIT, LLC 09/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
BENTLEY, JOHN, CLIFTON MANAGER 2012 PHH EQUITY CONDUIT, LLC 09/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2011-01-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2013-12-01
BENTLEY, JOHN, CLIFTON MANAGER 2014 PHH EQUITY CONDUIT, LLC 09/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2011-01-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2013-12-01
BENTLEY, JOHN, CLIFTON MANAGER 2011 PHH EQUITY CONDUIT, LLC 01/01/2011 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2011-01-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. MANAGER indirect 2012-09-01
PHH INVESTMENTS, LTD. SHAREHOLDER indirect 2013-12-01
RB 2013 CONDUIT, LLC MANAGER PHH INVESTMENT MANAGEMENT, LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. SHAREHOLDER, CLASS A LP direct 2013-12-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2013-12-01
PHH INVESTMENTS, LTD. MANAGER indirect 2015-09-01
BRIDGEWATER, BRAD, MICHAEL MANAGER 2014 PHH EQUITY CONDUIT, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2014-01-01
HBC RAA LP MANAGER PHH INVESTMENT MANAGEMENT, LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. MANAGER indirect 2015-09-01
PHH INVESTMENTS, LTD. CLASS A LP direct 2015-10-01
PHH INVESTMENTS, LTD. MEMBER indirect 2015-10-01
HBC RAA CO-INVEST LP PARTNER HBC RAA LP 09/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. PARTNER indirect 2015-09-01
HOAK PRIVATE EQUITIES I LP PARTNER HBC RAA CO-INVEST LP 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PHH INVESTMENTS, LTD. PARTNER indirect 2015-09-01

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