RESOURCES INVESTMENT ADVISORS, LLC.

https://www.terosadvisors.com/ OVERLAND PARK, KS Investment Advisor How do I update this listing?

Resources Investment Advisors is based out of Overland Park. Resources Investment Advisors is a large advisory firm with 5834 clients and discretionary assets under management (AUM) of $3,132,075,045 (Form ADV from 2019-09-30). Their last reported 13F filing for Q3 2019 included $1,114,738,000 in managed 13F securities and a top 10 holdings concentration of 30.95%. Resources Investment Advisors's largest holding is Schwab US Aggregate Bond ETF with shares held of 799,545. Whalewisdom has at least 10 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.115 Billion
  • Prior Market Value $1.292 Billion
  • New Purchases117 stocks
  • Additional Purchases251 stocks
  • Sold out of764 stocks
  • Reduced holdings in205 stocks
  • Top 10 Holdings % 30.95 %
  • Turnover % [1]:151.11%
  • Turnover Alt % [2]: 35.16 %
  • Time Held Top20:4.05 quarters
  • Time Held Top10:5.60 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 2019-11-14

Performance for Q3 2019: 6.32%
Performance Last 4 Quarters: 10.46%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

RESOURCES INVESTMENT ADVISORS
4860 COLLEGE BLVD.
OVERLAND PARK KS    66211
Country: United States

Business Phone: 877-742-2021
Fax: 913-948-8200
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Pension consultant
Form of Organization: Limited Liability Company
Organized in: MO
Number of employees: 200
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 5834
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (4),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

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RESOURCES INVESTMENT ADVISORS, LLC

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
MORRIS, VINCENT, LEE MANAGER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
BUKATY MORRIS RIA HOLDINGS, INC. OWNER 07/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC OWNER direct 2018-07-01
TROYER, PHILLIP, JAMES CHIEF COMPLIANCE OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2014-02-01
OSL, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
CHANNEL BROKERAGE, LLC SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
CHEPENIK MANAGEMENT, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
SHA RETIREMENT GROUP, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
TEROS ADVISORS, LLC SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
RPA NATION PR LLC SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
401K ADVISORS INTERMOUNTAIN, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
BUKATY, MICHAEL, JOSEPH SHAREHOLDER BUKATY MORRIS RIA HOLDINGS, INC. 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
MORRIS, VINCENT, LEE SHAREHOLDER BUKATY MORRIS RIA HOLDINGS, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
OAKESON, DOUGLAS, EUGENE SHAREHOLDER OSL, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
Yost, Joshua, J SHAREHOLDER OSL, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
GULSETH, MATTHEW, JAMES SHAREHOLDER CHANNEL BROKERAGE, LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIRCHOW KRAUSE WEALTH MANAGEMENT LLC MARKET MANAGER direct 2004-06-01
MCDONALD, JAMES, DEAN SHAREHOLDER CHANNEL BROKERAGE, LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
STEWART, DANIEL, ROBERT GENERAL PARTNER CHANNEL BROKERAGE, LLC 07/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2018-07-01
CHEPENIK, BARNETT, IRA SHAREHOLDER CHEPENIK MANAGEMENT, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
CHEPENIK, JASON, KYLE SHAREHOLDER CHEPENIK MANAGEMENT, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
SNOOK, KELLEY, FAUSTIN SHAREHOLDER SHA RETIREMENT GROUP, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NORTHSTAR FINANCIAL PARTNERS, INC. PRESIDENT indirect 2002-02-01
NORTHSTAR FINANCIAL PARTNERS, INC. PRESIDENT direct 2002-02-01
STRAIGHTLINE CONSULTING GROUP TRUSTEE indirect 2003-11-01
STRAIGHTLINE CONSULTING GROUP CHIEF COMPLIANCE OFFICER, PRESIDENT & MANAGING MEMBER direct 2012-08-01
NORTHSTAR FINANCIAL PARTNERS, INC. PRESIDENT/PRINCIPAL direct 2000-11-01 2001-09-26
STRAIGHTLINE CONSULTING GROUP PRESIDENT & MANAGING MEMBER direct 2012-08-01 2014-03-31
Anderson, David, Allen SHAREHOLDER SHA RETIREMENT GROUP, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
WHITE, NATHAN, DAVID SHAREHOLDER TEROS ADVISORS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SML FINANCIAL SERVICES, LLC MANAGING PRINCIPAL direct 2007-10-01
SITZMANN LAVIS WHITE, LLC MANAGING PRINCIPAL, MEMBER direct 2007-10-01
CORDERO CONDE, JAVIER, ENRIQUE SHAREHOLDER RPA NATION PR LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
DALL, CORBY, NORMAN SHAREHOLDER 401K ADVISORS INTERMOUNTAIN, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
DALL, Brayden, DEXTER SHAREHOLDER 401K ADVISORS INTERMOUNTAIN, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01

RESOURCES INVESTMENT ADVISORS, LLC

ownership team - last updated 2019-04-22
Name Title Start Date Direct/Indirect % Ownership
MORRIS, VINCENT, LEE MANAGER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
BUKATY MORRIS RIA HOLDINGS, INC. OWNER 07/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC OWNER direct 2018-07-01
TROYER, PHILLIP, JAMES CHIEF COMPLIANCE OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2014-02-01
OSL, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
CHANNEL BROKERAGE, LLC SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
CHEPENIK MANAGEMENT, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
SHA RETIREMENT GROUP, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
TEROS ADVISORS, LLC SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
RPA NATION PR LLC SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
401K ADVISORS INTERMOUNTAIN, INC. SHAREHOLDER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER direct 2018-07-01
BUKATY, MICHAEL, JOSEPH SHAREHOLDER BUKATY MORRIS RIA HOLDINGS, INC. 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
MORRIS, VINCENT, LEE SHAREHOLDER BUKATY MORRIS RIA HOLDINGS, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
OAKESON, DOUGLAS, EUGENE SHAREHOLDER OSL, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
Yost, Joshua, J SHAREHOLDER OSL, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
GULSETH, MATTHEW, JAMES SHAREHOLDER CHANNEL BROKERAGE, LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIRCHOW KRAUSE WEALTH MANAGEMENT LLC MARKET MANAGER direct 2004-06-01
MCDONALD, JAMES, DEAN SHAREHOLDER CHANNEL BROKERAGE, LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
STEWART, DANIEL, ROBERT GENERAL PARTNER CHANNEL BROKERAGE, LLC 07/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2018-07-01
CHEPENIK, BARNETT, IRA SHAREHOLDER CHEPENIK MANAGEMENT, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
CHEPENIK, JASON, KYLE SHAREHOLDER CHEPENIK MANAGEMENT, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
SNOOK, KELLEY, FAUSTIN SHAREHOLDER SHA RETIREMENT GROUP, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NORTHSTAR FINANCIAL PARTNERS, INC. PRESIDENT indirect 2002-02-01
NORTHSTAR FINANCIAL PARTNERS, INC. PRESIDENT direct 2002-02-01
STRAIGHTLINE CONSULTING GROUP TRUSTEE indirect 2003-11-01
STRAIGHTLINE CONSULTING GROUP CHIEF COMPLIANCE OFFICER, PRESIDENT & MANAGING MEMBER direct 2012-08-01
NORTHSTAR FINANCIAL PARTNERS, INC. PRESIDENT/PRINCIPAL direct 2000-11-01 2001-09-26
STRAIGHTLINE CONSULTING GROUP PRESIDENT & MANAGING MEMBER direct 2012-08-01 2014-03-31
Anderson, David, Allen SHAREHOLDER SHA RETIREMENT GROUP, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
WHITE, NATHAN, DAVID SHAREHOLDER TEROS ADVISORS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SML FINANCIAL SERVICES, LLC MANAGING PRINCIPAL direct 2007-10-01
SITZMANN LAVIS WHITE, LLC MANAGING PRINCIPAL, MEMBER direct 2007-10-01
CORDERO CONDE, JAVIER, ENRIQUE SHAREHOLDER RPA NATION PR LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
DALL, CORBY, NORMAN SHAREHOLDER 401K ADVISORS INTERMOUNTAIN, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01
DALL, Brayden, DEXTER SHAREHOLDER 401K ADVISORS INTERMOUNTAIN, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2018-07-01

RESOURCES INVESTMENT ADVISORS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
MORRIS, VINCENT, LEE MANAGER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
BUKATY MORRIS RIA HOLDINGS, INC. OWNER 07/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
STONEBRIDGE CAPITAL MANAGEMENT II LLC MANAGING MEMBER direct 1999-11-01
INVESTMENT CONSULTING GROUP LLC MEMBER direct 2002-09-01
CT FIXED INCOME MANAGEMENT, LLC MEMBER direct 2003-03-01
CT PREFERRED INVESTORS MANAGEMENT, LLC MEMBER direct 2003-05-01
MOUNT YALE PORTFOLIO ADVISORS, LLC MEMBER direct 2003-06-01
LYRICAL-ANTHEUS MANAGEMENT, L.P. GENERAL PARTNER direct 2004-12-01
TMFS-BIRMINGHAM, LLC OWNER direct 2005-10-01
AQUILINE HOLDINGS LLC GENERAL PARTNER indirect 2006-06-01
MARANON CAPITAL, L.P. LIMITED PARTNER OF MARANON MEZZANINE GP, L.P. direct 2008-07-01
ASSET ALLOCATION STRATEGIES, LLC 39 % OWNER; TRUSTEES : JP MORGAN CHASE N.A. & R.M. BARRON (379-44-1643) direct 2009-10-01
SAVANT INVESTMENT GROUP, LLC OWNER direct 2009-12-01
ESTANCIA CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
FTJ FUNDCHOICE, LLC GENERAL PARTNER indirect 2012-07-01
STONEBRIDGE CAPITAL MANAGEMENT II LLC MEMBER indirect 2012-12-01
CBRE GLOBAL INVESTMENT PARTNERS LIMITED GENERAL PARTNER indirect 2013-03-01
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2013-10-01
MARANON CAPITAL, L.P. LIMITED PARTNER OF MARANON MEZZANINE GP II, L.P. direct 2013-12-01
FOURSTAR WEALTH ADVISORS, LLC MEMBER direct 2014-06-01
MANIKAY PARTNERS, LLC OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER) indirect 2014-08-01
PAXION PARTNERS LP GENERAL PARTNER direct 2015-05-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. TRUSTEE / CLASS B COMMON indirect 2015-08-01
MASSEY QUICK WEALTH SOLUTIONS LLC MEMBER direct 2016-08-01
SABRETOOTH ADVISORS, LLC MANAGING MEMBER direct 2016-10-01
FIDUCIARY INVESTMENT ADVISORS, LLC MEMBER direct 2017-01-01
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER indirect 2017-04-01
ARKADIOS WEALTH ADVISORS OWNER direct 2017-06-01
JOHN K DWIGHT ASSET MANAGEMENT COMPANY, INC. 100% SHAREHOLDER OF DWIGHT ASSET MANAGEMENT COMPANY direct 2001-04-01 2001-05-18
WEXFORD CLEARING SERVICES, LLC 62% STOCKHOLDER indirect 2003-07-01 2003-09-25
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED B) indirect 2005-04-01 2005-07-26
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-01-01 2006-03-31
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-03-01 2006-03-31
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-04-01 2006-03-31
STONEBRIDGE CAPITAL MANAGEMENT II LLC MEMBER direct 1999-11-01 2006-03-31
PADCO ADVISORS II INC SHAREHOLDER indirect 2003-12-01 2006-03-31
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2003-07-01 2006-12-04
LARCH LANE ADVISORS LLC SPECIAL MEMBER direct 2005-10-01 2008-03-31
CORRIENTE ADVISORS, LLC TRUSTEE direct 2007-12-01 2010-03-25
RIVER STREET ADVISORS, LLC SOLE MEMBER direct 2010-04-01 2010-05-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-07-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-07-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC GENERAL PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC LIMITED PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC GENERAL PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-10-01 2010-07-20
TERRA RESOURCE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2011-02-01 2011-02-23
NOCTUA INTERNATIONAL WMG, LLC MEMBER direct 2009-05-01 2011-04-04
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2011-09-01 2012-01-26
NOCTUA INTERNATIONAL WMG, LLC GENERAL PARTNER indirect 2009-08-01 2012-03-30
LYONROSS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2012-09-01 2012-12-21
FOXHAVEN ASSET MANAGEMENT, LP GENERAL PARTNER direct 2013-08-01 2013-09-26
EDGE PRINCIPAL ADVISORS, LLC GENERAL PARTNER/OWNER - ATERIAN INVESTMENT MANAGEMENT, LP (RELYING ADVISER) direct 2013-08-01 2013-11-13
SUB-SAHARA CAPITAL GROUP LP GENERAL PARTNER direct 2013-03-01 2013-12-02
NOCTUA INTERNATIONAL WMG, LLC SHAREHOLDER indirect 2009-07-01 2015-07-21
PROTERRA INVESTMENT PARTNERS LP GENERAL PARTNER direct 2015-09-01 2016-01-26
RIDGE RETIREMENT CONSULTANTS, LLC KLINGMAN HOLDINGS, LLC direct 2014-04-01 2016-02-25
HGI CAPITAL MANAGEMENT, LLC. MEMBER indirect 2013-07-01 2016-04-18
HGI CAPITAL MANAGEMENT, LLC. MANAGING MEMBER indirect 2013-07-01 2016-04-18
BLOOOM, INC. SHAREHOLDER direct 2016-03-01 2016-06-07
BLOOOM, INC. SHAREHOLDER direct 3016-03-01 2016-06-07
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2007-01-01 2017-02-10
SAVANT INVESTMENT GROUP, LLC THE SAVANT GROUP, INC. direct 1991-09-01 2017-02-23
TROYER, PHILLIP, JAMES CHIEF COMPLIANCE OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2014-02-01
BUKATY, MICHAEL, JOSEPH SHAREHOLDER BUKATY MORRIS RIA HOLDINGS, INC. 07/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
MORRIS, VINCENT, LEE SHAREHOLDER BUKATY MORRIS RIA HOLDINGS, INC. 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01

RESOURCES INVESTMENT ADVISORS, LLC

ownership team - last updated 2018-10-12
Name Title Start Date Direct/Indirect % Ownership
MORRIS, VINCENT, LEE PRESIDENT 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
BUKATY, MICHAEL, JOSEPH SECRETARY/TREASURER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
OCI OWNER 10/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONEBRIDGE CAPITAL MANAGEMENT II LLC MANAGING MEMBER direct 1999-11-01
INVESTMENT CONSULTING GROUP LLC MEMBER direct 2002-09-01
CT FIXED INCOME MANAGEMENT, LLC MEMBER direct 2003-03-01
CT PREFERRED INVESTORS MANAGEMENT, LLC MEMBER direct 2003-05-01
MOUNT YALE PORTFOLIO ADVISORS, LLC MEMBER direct 2003-06-01
LYRICAL-ANTHEUS MANAGEMENT, L.P. GENERAL PARTNER direct 2004-12-01
TMFS-BIRMINGHAM, LLC OWNER direct 2005-10-01
AQUILINE HOLDINGS LLC GENERAL PARTNER indirect 2006-06-01
MARANON CAPITAL, L.P. LIMITED PARTNER OF MARANON MEZZANINE GP, L.P. direct 2008-07-01
ASSET ALLOCATION STRATEGIES, LLC 39 % OWNER; TRUSTEES : JP MORGAN CHASE N.A. & R.M. BARRON (379-44-1643) direct 2009-10-01
SAVANT INVESTMENT GROUP, LLC OWNER direct 2009-12-01
ESTANCIA CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
FTJ FUNDCHOICE, LLC GENERAL PARTNER indirect 2012-07-01
STONEBRIDGE CAPITAL MANAGEMENT II LLC MEMBER indirect 2012-12-01
CBRE GLOBAL INVESTMENT PARTNERS LIMITED GENERAL PARTNER indirect 2013-03-01
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2013-10-01
MARANON CAPITAL, L.P. LIMITED PARTNER OF MARANON MEZZANINE GP II, L.P. direct 2013-12-01
FOURSTAR WEALTH ADVISORS, LLC MEMBER direct 2014-06-01
MANIKAY PARTNERS, LLC OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER) indirect 2014-08-01
PAXION PARTNERS LP GENERAL PARTNER direct 2015-05-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. TRUSTEE / CLASS B COMMON indirect 2015-08-01
MASSEY QUICK WEALTH SOLUTIONS LLC MEMBER direct 2016-08-01
SABRETOOTH ADVISORS, LLC MANAGING MEMBER direct 2016-10-01
FIDUCIARY INVESTMENT ADVISORS, LLC MEMBER direct 2017-01-01
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER indirect 2017-04-01
ARKADIOS WEALTH ADVISORS OWNER direct 2017-06-01
JOHN K DWIGHT ASSET MANAGEMENT COMPANY, INC. 100% SHAREHOLDER OF DWIGHT ASSET MANAGEMENT COMPANY direct 2001-04-01 2001-05-18
WEXFORD CLEARING SERVICES, LLC 62% STOCKHOLDER indirect 2003-07-01 2003-09-25
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED B) indirect 2005-04-01 2005-07-26
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-01-01 2006-03-31
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-03-01 2006-03-31
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-04-01 2006-03-31
STONEBRIDGE CAPITAL MANAGEMENT II LLC MEMBER direct 1999-11-01 2006-03-31
PADCO ADVISORS II INC SHAREHOLDER indirect 2003-12-01 2006-03-31
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2003-07-01 2006-12-04
LARCH LANE ADVISORS LLC SPECIAL MEMBER direct 2005-10-01 2008-03-31
CORRIENTE ADVISORS, LLC TRUSTEE direct 2007-12-01 2010-03-25
RIVER STREET ADVISORS, LLC SOLE MEMBER direct 2010-04-01 2010-05-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-07-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-07-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC GENERAL PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC LIMITED PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC GENERAL PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-10-01 2010-07-20
TERRA RESOURCE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2011-02-01 2011-02-23
NOCTUA INTERNATIONAL WMG, LLC MEMBER direct 2009-05-01 2011-04-04
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2011-09-01 2012-01-26
NOCTUA INTERNATIONAL WMG, LLC GENERAL PARTNER indirect 2009-08-01 2012-03-30
LYONROSS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2012-09-01 2012-12-21
FOXHAVEN ASSET MANAGEMENT, LP GENERAL PARTNER direct 2013-08-01 2013-09-26
EDGE PRINCIPAL ADVISORS, LLC GENERAL PARTNER/OWNER - ATERIAN INVESTMENT MANAGEMENT, LP (RELYING ADVISER) direct 2013-08-01 2013-11-13
SUB-SAHARA CAPITAL GROUP LP GENERAL PARTNER direct 2013-03-01 2013-12-02
NOCTUA INTERNATIONAL WMG, LLC SHAREHOLDER indirect 2009-07-01 2015-07-21
PROTERRA INVESTMENT PARTNERS LP GENERAL PARTNER direct 2015-09-01 2016-01-26
RIDGE RETIREMENT CONSULTANTS, LLC KLINGMAN HOLDINGS, LLC direct 2014-04-01 2016-02-25
HGI CAPITAL MANAGEMENT, LLC. MEMBER indirect 2013-07-01 2016-04-18
HGI CAPITAL MANAGEMENT, LLC. MANAGING MEMBER indirect 2013-07-01 2016-04-18
BLOOOM, INC. SHAREHOLDER direct 2016-03-01 2016-06-07
BLOOOM, INC. SHAREHOLDER direct 3016-03-01 2016-06-07
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2007-01-01 2017-02-10
SAVANT INVESTMENT GROUP, LLC THE SAVANT GROUP, INC. direct 1991-09-01 2017-02-23
TROYER, PHILLIP, JAMES CHIEF COMPLIANCE OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2014-02-01
BUKATY, MICHAEL, JOSEPH SHAREHOLDER OCI 10/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
MORRIS, VINCENT, LEE SHAREHOLDER OCI 10/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01

RESOURCES INVESTMENT ADVISORS INC

ownership team - last updated 2017-09-21
Name Title Start Date Direct/Indirect % Ownership
TROYER, PHILLIP, JAMES CHIEF COMPLIANCE OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2014-02-01
OCI OWNER 10/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONEBRIDGE CAPITAL MANAGEMENT II LLC MANAGING MEMBER direct 1999-11-01
INVESTMENT CONSULTING GROUP LLC MEMBER direct 2002-09-01
CT FIXED INCOME MANAGEMENT, LLC MEMBER direct 2003-03-01
CT PREFERRED INVESTORS MANAGEMENT, LLC MEMBER direct 2003-05-01
MOUNT YALE PORTFOLIO ADVISORS, LLC MEMBER direct 2003-06-01
LYRICAL-ANTHEUS MANAGEMENT, L.P. GENERAL PARTNER direct 2004-12-01
TMFS-BIRMINGHAM, LLC OWNER direct 2005-10-01
AQUILINE HOLDINGS LLC GENERAL PARTNER indirect 2006-06-01
MARANON CAPITAL, L.P. LIMITED PARTNER OF MARANON MEZZANINE GP, L.P. direct 2008-07-01
ASSET ALLOCATION STRATEGIES, LLC 39 % OWNER; TRUSTEES : JP MORGAN CHASE N.A. & R.M. BARRON (379-44-1643) direct 2009-10-01
SAVANT INVESTMENT GROUP, LLC OWNER direct 2009-12-01
ESTANCIA CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
FTJ FUNDCHOICE, LLC GENERAL PARTNER indirect 2012-07-01
STONEBRIDGE CAPITAL MANAGEMENT II LLC MEMBER indirect 2012-12-01
CBRE GLOBAL INVESTMENT PARTNERS LIMITED GENERAL PARTNER indirect 2013-03-01
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2013-10-01
MARANON CAPITAL, L.P. LIMITED PARTNER OF MARANON MEZZANINE GP II, L.P. direct 2013-12-01
FOURSTAR WEALTH ADVISORS, LLC MEMBER direct 2014-06-01
MANIKAY PARTNERS, LLC OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER) indirect 2014-08-01
PAXION PARTNERS LP GENERAL PARTNER direct 2015-05-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. TRUSTEE / CLASS B COMMON indirect 2015-08-01
MASSEY QUICK WEALTH SOLUTIONS LLC MEMBER direct 2016-08-01
SABRETOOTH ADVISORS, LLC MANAGING MEMBER direct 2016-10-01
FIDUCIARY INVESTMENT ADVISORS, LLC MEMBER direct 2017-01-01
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER indirect 2017-04-01
ARKADIOS WEALTH ADVISORS OWNER direct 2017-06-01
JOHN K DWIGHT ASSET MANAGEMENT COMPANY, INC. 100% SHAREHOLDER OF DWIGHT ASSET MANAGEMENT COMPANY direct 2001-04-01 2001-05-18
WEXFORD CLEARING SERVICES, LLC 62% STOCKHOLDER indirect 2003-07-01 2003-09-25
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED B) indirect 2005-04-01 2005-07-26
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-01-01 2006-03-31
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-03-01 2006-03-31
FLAHERTY & CRUMRINE INC SHAREHOLDER direct 1997-04-01 2006-03-31
STONEBRIDGE CAPITAL MANAGEMENT II LLC MEMBER direct 1999-11-01 2006-03-31
PADCO ADVISORS II INC SHAREHOLDER indirect 2003-12-01 2006-03-31
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2003-07-01 2006-12-04
LARCH LANE ADVISORS LLC SPECIAL MEMBER direct 2005-10-01 2008-03-31
CORRIENTE ADVISORS, LLC TRUSTEE direct 2007-12-01 2010-03-25
RIVER STREET ADVISORS, LLC SOLE MEMBER direct 2010-04-01 2010-05-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-07-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-07-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC GENERAL PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC LIMITED PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC GENERAL PARTNER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-08-01 2010-07-20
PINEBRIDGE INVESTMENTS LLC SHAREHOLDER indirect 2009-10-01 2010-07-20
TERRA RESOURCE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2011-02-01 2011-02-23
NOCTUA INTERNATIONAL WMG, LLC MEMBER direct 2009-05-01 2011-04-04
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2011-09-01 2012-01-26
NOCTUA INTERNATIONAL WMG, LLC GENERAL PARTNER indirect 2009-08-01 2012-03-30
LYONROSS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2012-09-01 2012-12-21
FOXHAVEN ASSET MANAGEMENT, LP GENERAL PARTNER direct 2013-08-01 2013-09-26
EDGE PRINCIPAL ADVISORS, LLC GENERAL PARTNER/OWNER - ATERIAN INVESTMENT MANAGEMENT, LP (RELYING ADVISER) direct 2013-08-01 2013-11-13
SUB-SAHARA CAPITAL GROUP LP GENERAL PARTNER direct 2013-03-01 2013-12-02
NOCTUA INTERNATIONAL WMG, LLC SHAREHOLDER indirect 2009-07-01 2015-07-21
PROTERRA INVESTMENT PARTNERS LP GENERAL PARTNER direct 2015-09-01 2016-01-26
RIDGE RETIREMENT CONSULTANTS, LLC KLINGMAN HOLDINGS, LLC direct 2014-04-01 2016-02-25
HGI CAPITAL MANAGEMENT, LLC. MEMBER indirect 2013-07-01 2016-04-18
HGI CAPITAL MANAGEMENT, LLC. MANAGING MEMBER indirect 2013-07-01 2016-04-18
BLOOOM, INC. SHAREHOLDER direct 2016-03-01 2016-06-07
BLOOOM, INC. SHAREHOLDER direct 3016-03-01 2016-06-07
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2007-01-01 2017-02-10
SAVANT INVESTMENT GROUP, LLC THE SAVANT GROUP, INC. direct 1991-09-01 2017-02-23
BUKATY, MICHAEL, JOSEPH SECRETARY/TREASURER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
MORRIS, VINCENT, LEE PRESIDENT 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
MORRIS, VINCENT, LEE SHAREHOLDER OCI 10/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC VP/CHIEF COMPLIANCE OFFICER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01
RESOURCES INVESTMENT ADVISORS INC PRESIDENT direct 2014-02-01
BUKATY, MICHAEL, JOSEPH SHAREHOLDER OCI 10/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RESOURCES INVESTMENT ADVISORS INC OWNER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC OWNER/SECRETARY/TREASURER direct 2010-09-01
RESOURCES INVESTMENT ADVISORS INC SHAREHOLDER indirect 2013-10-01

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