SANDERS MORRIS HARRIS LLC

HTTP://WWW.SMHGROUP.COM HOUSTON, TX Investment Advisor How do I update this listing?

Also known as:

  • SANDERS MORRIS HARRIS INC
  • SMH CAPITAL INC
  • SANDERS MORRIS HARRIS INC/FA

Sanders Morris Harris is based out of Houston. Sanders Morris Harris is a large advisory firm with 394 clients and discretionary assets under management (AUM) of $270,236,812 (Form ADV from 2019-03-27). Their last reported 13F filing for Q2 2019 included $385,328,000 in managed 13F securities and a top 10 holdings concentration of 35.1%. Sanders Morris Harris's largest holding is Invesco QQQ Trust Series 1 with shares held of 148,637. Sanders Morris Harris has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 21 13F filings, 5 13D filings, and 10 13G filings

Subscription Required

Equal-WT
WhaleScore

?

62

S&P 500
WhaleScore

?

Subscription Required

Manager Weighted
WhaleScore

?
Download 13F Summary to Excel Create Email Alert

06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $385.328 Million
  • Prior Market Value $205.546 Million
  • New Purchases160 stocks
  • Additional Purchases51 stocks
  • Sold out of14 stocks
  • Reduced holdings in23 stocks
  • Top 10 Holdings % 35.10 %
  • Turnover % [1]:63.74%
  • Turnover Alt % [2]: 54.69 %
  • Time Held Top20:3.40 quarters
  • Time Held Top10:4.60 quarters
  • Time Held All:3.91 quarters

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

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

Portfolio Performance

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

Performance for Q1 2019: 8.26%
Performance Last 4 Quarters: -1.04%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (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/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SANDERS MORRIS HARRIS LLC
600 TRAVIS SUITE 5900
HOUSTON TX    77002-3003
Country: United States

Business Phone: 713-224-3100
Fax: 713-220-5182
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TX
Number of employees: 27
Other Business Activities: broker-dealer,registered representative of a broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees,SEMINAR FEES
Amount of client funds and securities:
Total Number of Clients: 394
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.E (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

SANDERS MORRIS HARRIS LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
BALL, GEORGE LESTER CEO AND CHAIRMAN OF THE BOARD (9/2015) 02/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2000-02-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
THE RIKOON GROUP, LLC VICE PRESIDENT direct 2014-06-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2014-10-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2000-02-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SMH GROUP INVESTMENT ADVISORS INC. DIRECTOR direct 2005-12-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2014-10-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS direct 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS LLC CEO AND CHAIRMAN OF THE BOARD (9/2015) direct 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN/SROP direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN direct 2000-02-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2014-10-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2000-10-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC VP direct 2015-09-01
SMH CAPITAL ADVISORS LLC BOARD OF MANGERS direct 2015-09-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2014-10-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC VP direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
BAILEY, SUSAN EVA ASSISTANT SECRETARY 05/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SECRETARY direct 2009-05-01
SANDERS MORRIS HARRIS INC. ASSISTANT SECRETARY direct 2009-05-01
BLOCK, DAVID WILLIAM OPERATIONS MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC OPERATIONS MANAGER direct 2016-01-01
TECTONIC HOLDINGS LLC OWNER 02/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC OWNER direct 2017-02-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER direct 2017-02-01
MILLER-GREEN FINANCIAL SERVICES LLC OWNER direct 2017-02-01
TECTONIC ADVISORS LLC MEMBER direct 2015-05-01
SHERMAN, ARTHUR HAAG MANAGER, ASSOCIATE GENERAL COUNSEL 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TECTONIC ADVISORS LLC CEO AND CIO direct 2015-02-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
SANDERS MORRIS HARRIS LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
REDSTONE CONSULTING LLC DESIGNATED PRINCIPAL direct 1999-12-01 2002-04-01
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-01-29
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-03-19
SALIENT ADVISORS, L.P. MEMBER direct 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MANAGER & MEMBER indirect 2003-03-01 2005-04-19
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER, CLASS A LIMITED PARTNER direct 2003-12-01 2006-02-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01 2006-03-14
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-03-01 2007-09-13
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2003-12-01 2010-01-19
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2006-08-01 2010-03-29
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER indirect 2003-05-01 2011-06-14
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER direct 2004-10-01 2011-06-14
SALIENT ADVISORS, L.P. MANAGING DIRECTOR direct 2002-08-01 2011-07-20
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
INTEGRITY CAPITAL, LLC ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2006-08-01 2011-07-20
GHE ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2006-08-01 2011-07-20
INTEGRITY CAPITAL, LLC MANAGING DIRECTOR direct 2010-11-01 2011-07-20
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2003-03-01 2011-09-13
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-09-13
ENDOWMENT ADVISERS, L.P. CO-CEO / MANAGING DIRECTOR direct 2003-12-01 2011-09-13
SALIENT CAPITAL ADVISORS, LLC ELECTED MANAGER indirect 2003-05-01 2011-09-29
SALIENT CAPITAL ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2011-01-01 2011-09-29
MILLER-GREEN FINANCIAL SERVICES LLC OWNER indirect 2005-05-01 2017-05-08
KUEBLER, ERICK GEORGE REVELLE MANAGER 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MANAGER direct 2017-05-01
LYKOS, THOMAS JOHN JR GENERAL COUNSEL 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC CCO AND GENERAL COUNSEL direct 2018-02-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL COUNSEL direct 2018-02-01
SANDERS MORRIS HARRIS LLC GENERAL COUNSEL direct 2018-02-01
LYONS, PAUL DOUGLAS FINOP 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. VP direct 2006-01-01
TECTONIC ADVISORS LLC SENIOR MANAGING DIRECTOR direct 2006-01-01
TECTONIC ADVISORS LLC VICE PRESIDENT direct 2006-01-01
HUNT, DAVID LEE CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER/SECRETARY direct 2016-02-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS direct 2016-04-01
SMH CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
MILLER-GREEN FINANCIAL SERVICES LLC CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER direct 2016-05-01
STRUCTURED CREDIT PARTNERS LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
STRUCTURED ASSET INVESTORS, LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SHERMAN, ARTHUR HAAG OWNER TECTONIC HOLDINGS LLC 02/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TECTONIC ADVISORS LLC CEO AND CIO direct 2015-02-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
SANDERS MORRIS HARRIS LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
REDSTONE CONSULTING LLC DESIGNATED PRINCIPAL direct 1999-12-01 2002-04-01
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-01-29
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-03-19
SALIENT ADVISORS, L.P. MEMBER direct 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MANAGER & MEMBER indirect 2003-03-01 2005-04-19
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER, CLASS A LIMITED PARTNER direct 2003-12-01 2006-02-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01 2006-03-14
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-03-01 2007-09-13
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2003-12-01 2010-01-19
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2006-08-01 2010-03-29
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER indirect 2003-05-01 2011-06-14
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER direct 2004-10-01 2011-06-14
SALIENT ADVISORS, L.P. MANAGING DIRECTOR direct 2002-08-01 2011-07-20
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
INTEGRITY CAPITAL, LLC ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2006-08-01 2011-07-20
GHE ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2006-08-01 2011-07-20
INTEGRITY CAPITAL, LLC MANAGING DIRECTOR direct 2010-11-01 2011-07-20
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2003-03-01 2011-09-13
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-09-13
ENDOWMENT ADVISERS, L.P. CO-CEO / MANAGING DIRECTOR direct 2003-12-01 2011-09-13
SALIENT CAPITAL ADVISORS, LLC ELECTED MANAGER indirect 2003-05-01 2011-09-29
SALIENT CAPITAL ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2011-01-01 2011-09-29
MILLER-GREEN FINANCIAL SERVICES LLC OWNER indirect 2005-05-01 2017-05-08

SANDERS MORRIS HARRIS LLC

ownership team - last updated 2018-11-13
Name Title Start Date Direct/Indirect % Ownership
BALL, GEORGE LESTER CEO AND CHAIRMAN OF THE BOARD (9/2015) 02/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2000-02-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
THE RIKOON GROUP, LLC VICE PRESIDENT direct 2014-06-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2014-10-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2000-02-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SMH GROUP INVESTMENT ADVISORS INC. DIRECTOR direct 2005-12-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2014-10-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS direct 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS LLC CEO AND CHAIRMAN OF THE BOARD (9/2015) direct 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN/SROP direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN direct 2000-02-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2014-10-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2000-10-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC VP direct 2015-09-01
SMH CAPITAL ADVISORS LLC BOARD OF MANGERS direct 2015-09-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2014-10-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC VP direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
BAILEY, SUSAN EVA ASSISTANT SECRETARY 05/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SECRETARY direct 2009-05-01
SANDERS MORRIS HARRIS INC. ASSISTANT SECRETARY direct 2009-05-01
BLOCK, DAVID WILLIAM OPERATIONS MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC OPERATIONS MANAGER direct 2016-01-01
TECTONIC HOLDINGS LLC OWNER 02/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC OWNER direct 2017-02-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER direct 2017-02-01
MILLER-GREEN FINANCIAL SERVICES LLC OWNER direct 2017-02-01
TECTONIC ADVISORS LLC MEMBER direct 2015-05-01
SHERMAN, ARTHUR HAAG MANAGER, ASSOCIATE GENERAL COUNSEL 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TECTONIC ADVISORS LLC CEO AND CIO direct 2015-02-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
SANDERS MORRIS HARRIS LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
REDSTONE CONSULTING LLC DESIGNATED PRINCIPAL direct 1999-12-01 2002-04-01
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-01-29
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-03-19
SALIENT ADVISORS, L.P. MEMBER direct 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MANAGER & MEMBER indirect 2003-03-01 2005-04-19
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER, CLASS A LIMITED PARTNER direct 2003-12-01 2006-02-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01 2006-03-14
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-03-01 2007-09-13
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2003-12-01 2010-01-19
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2006-08-01 2010-03-29
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER indirect 2003-05-01 2011-06-14
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER direct 2004-10-01 2011-06-14
SALIENT ADVISORS, L.P. MANAGING DIRECTOR direct 2002-08-01 2011-07-20
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
INTEGRITY CAPITAL, LLC ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2006-08-01 2011-07-20
GHE ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2006-08-01 2011-07-20
INTEGRITY CAPITAL, LLC MANAGING DIRECTOR direct 2010-11-01 2011-07-20
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2003-03-01 2011-09-13
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-09-13
ENDOWMENT ADVISERS, L.P. CO-CEO / MANAGING DIRECTOR direct 2003-12-01 2011-09-13
SALIENT CAPITAL ADVISORS, LLC ELECTED MANAGER indirect 2003-05-01 2011-09-29
SALIENT CAPITAL ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2011-01-01 2011-09-29
MILLER-GREEN FINANCIAL SERVICES LLC OWNER indirect 2005-05-01 2017-05-08
KUEBLER, ERICK GEORGE REVELLE MANAGER 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MANAGER direct 2017-05-01
LYKOS, THOMAS JOHN JR GENERAL COUNSEL 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC CCO AND GENERAL COUNSEL direct 2018-02-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL COUNSEL direct 2018-02-01
SANDERS MORRIS HARRIS LLC GENERAL COUNSEL direct 2018-02-01
LYONS, PAUL DOUGLAS FINOP 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. VP direct 2006-01-01
TECTONIC ADVISORS LLC SENIOR MANAGING DIRECTOR direct 2006-01-01
TECTONIC ADVISORS LLC VICE PRESIDENT direct 2006-01-01
HUNT, DAVID LEE CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER/SECRETARY direct 2016-02-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS direct 2016-04-01
SMH CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
MILLER-GREEN FINANCIAL SERVICES LLC CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER direct 2016-05-01
STRUCTURED CREDIT PARTNERS LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
STRUCTURED ASSET INVESTORS, LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SHERMAN, ARTHUR HAAG OWNER TECTONIC HOLDINGS LLC 02/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TECTONIC ADVISORS LLC CEO AND CIO direct 2015-02-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
SANDERS MORRIS HARRIS LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
REDSTONE CONSULTING LLC DESIGNATED PRINCIPAL direct 1999-12-01 2002-04-01
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-01-29
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-03-19
SALIENT ADVISORS, L.P. MEMBER direct 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MANAGER & MEMBER indirect 2003-03-01 2005-04-19
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER, CLASS A LIMITED PARTNER direct 2003-12-01 2006-02-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01 2006-03-14
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-03-01 2007-09-13
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2003-12-01 2010-01-19
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2006-08-01 2010-03-29
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER indirect 2003-05-01 2011-06-14
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER direct 2004-10-01 2011-06-14
SALIENT ADVISORS, L.P. MANAGING DIRECTOR direct 2002-08-01 2011-07-20
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
INTEGRITY CAPITAL, LLC ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2006-08-01 2011-07-20
GHE ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2006-08-01 2011-07-20
INTEGRITY CAPITAL, LLC MANAGING DIRECTOR direct 2010-11-01 2011-07-20
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2003-03-01 2011-09-13
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-09-13
ENDOWMENT ADVISERS, L.P. CO-CEO / MANAGING DIRECTOR direct 2003-12-01 2011-09-13
SALIENT CAPITAL ADVISORS, LLC ELECTED MANAGER indirect 2003-05-01 2011-09-29
SALIENT CAPITAL ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2011-01-01 2011-09-29
MILLER-GREEN FINANCIAL SERVICES LLC OWNER indirect 2005-05-01 2017-05-08

SANDERS MORRIS HARRIS LLC

ownership team - last updated 2017-04-10
Name Title Start Date Direct/Indirect % Ownership
BALL, GEORGE LESTER CEO AND CHAIRMAN OF THE BOARD (9/2015) 02/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2000-02-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
THE RIKOON GROUP, LLC VICE PRESIDENT direct 2014-06-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2014-10-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2000-02-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SMH GROUP INVESTMENT ADVISORS INC. DIRECTOR direct 2005-12-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2014-10-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS direct 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS LLC CEO AND CHAIRMAN OF THE BOARD (9/2015) direct 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN/SROP direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN direct 2000-02-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2014-10-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2000-10-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC VP direct 2015-09-01
SMH CAPITAL ADVISORS LLC BOARD OF MANGERS direct 2015-09-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2014-10-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC VP direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
BAILEY, SUSAN EVA ASSISTANT SECRETARY 05/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SECRETARY direct 2009-05-01
SANDERS MORRIS HARRIS INC. ASSISTANT SECRETARY direct 2009-05-01
HUNT, DAVID LEE CHIEF COMPLIANCE OFFICER/SECRETARY 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER/SECRETARY direct 2016-02-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS direct 2016-04-01
SMH CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
MILLER-GREEN FINANCIAL SERVICES LLC CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER direct 2016-05-01
STRUCTURED CREDIT PARTNERS LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
STRUCTURED ASSET INVESTORS, LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
BLOCK, DAVID WILLIAM OPERATIONS MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC OPERATIONS MANAGER direct 2016-01-01
HUNT, DAVID LEE BOARD OF MANAGERS 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SANDERS MORRIS HARRIS LLC CHIEF COMPLIANCE OFFICER/SECRETARY direct 2016-02-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS direct 2016-04-01
SMH CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
MILLER-GREEN FINANCIAL SERVICES LLC CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER direct 2016-05-01
STRUCTURED CREDIT PARTNERS LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
STRUCTURED ASSET INVESTORS, LLC VP, CHIEF COMPLIANCE OFFICER direct 2007-02-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SANDERS, DONALD ANTHONY BOARD OF MANAGERS 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMH CAPITAL INC. CHAIRMAN OF EXECUTIVE COMMITTEE direct 2000-02-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS direct 2016-04-01
SOF MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 1999-12-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-10-01
CONCEPT CAPITAL MARKETS, LLC MANAGER indirect 2010-03-01
CONCEPT CAPITAL MARKETS, LLC CO-MANAGER (NOT ANY TYPE OF PARTNER) indirect 2010-03-01
SCHAPS, MICHAEL ROBERT FINOP 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC FINOP direct 2017-02-01
TECTONIC HOLDINGS LLC OWNER 02/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC OWNER direct 2017-02-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER direct 2017-02-01
MILLER-GREEN FINANCIAL SERVICES LLC OWNER direct 2017-02-01
TECTONIC ADVISORS LLC MEMBER direct 2015-05-01
SHERMAN, ARTHUR HAAG MANAGING DIRECTOR, GENERAL COUNSEL 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TECTONIC ADVISORS LLC CEO AND CIO direct 2015-02-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
TECTONIC ADVISORS LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER/MANAGER indirect 2015-05-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
SANDERS MORRIS HARRIS LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2017-02-01
REDSTONE CONSULTING LLC DESIGNATED PRINCIPAL direct 1999-12-01 2002-04-01
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-01-29
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2003-03-19
SALIENT ADVISORS, L.P. MEMBER direct 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2002-08-01 2005-03-31
SALIENT ADVISORS, L.P. FOUNDING PARTNER indirect 2003-05-01 2005-03-31
ENDOWMENT ADVISERS, L.P. MANAGER & MEMBER indirect 2003-03-01 2005-04-19
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER, CLASS A LIMITED PARTNER direct 2003-12-01 2006-02-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01 2006-03-14
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-03-01 2007-09-13
ENDOWMENT ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2003-12-01 2010-01-19
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2006-08-01 2010-03-29
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER indirect 2003-05-01 2011-06-14
SUSTAINABLE WOODLANDS PARTNERS, LLC ELECTED MANAGER direct 2004-10-01 2011-06-14
SALIENT ADVISORS, L.P. MANAGING DIRECTOR direct 2002-08-01 2011-07-20
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-07-20
INTEGRITY CAPITAL, LLC ELECTED MANAGER indirect 2003-05-01 2011-07-20
GHE ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2006-08-01 2011-07-20
GHE ADVISERS, L.P. INVESTMENT COMMITTEE MEMBER direct 2006-08-01 2011-07-20
INTEGRITY CAPITAL, LLC MANAGING DIRECTOR direct 2010-11-01 2011-07-20
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER, MEMBER indirect 2003-03-01 2011-09-13
ENDOWMENT ADVISERS, L.P. ELECTED MANAGER indirect 2003-05-01 2011-09-13
ENDOWMENT ADVISERS, L.P. CO-CEO / MANAGING DIRECTOR direct 2003-12-01 2011-09-13
SALIENT CAPITAL ADVISORS, LLC ELECTED MANAGER indirect 2003-05-01 2011-09-29
SALIENT CAPITAL ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2011-01-01 2011-09-29
MILLER-GREEN FINANCIAL SERVICES LLC OWNER indirect 2005-05-01 2017-05-08
BALL, GEORGE LESTER BOARD OF MANAGERS SUMMER WEALTH MANAGEMENT LLC 10/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2000-02-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
THE RIKOON GROUP, LLC VICE PRESIDENT direct 2014-06-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2014-10-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2000-02-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SMH GROUP INVESTMENT ADVISORS INC. DIRECTOR direct 2005-12-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2014-10-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS direct 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS LLC CEO AND CHAIRMAN OF THE BOARD (9/2015) direct 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN/SROP direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN direct 2000-02-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2014-10-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2000-10-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC VP direct 2015-09-01
SMH CAPITAL ADVISORS LLC BOARD OF MANGERS direct 2015-09-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2014-10-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC VP direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
BALL, GEORGE LESTER BOARD OF MANAGERS AWP GP LLC 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2000-02-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SALIENT ADVISORS, L.P. ELECTED MANAGER indirect 2003-05-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2000-02-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
THE RIKOON GROUP, LLC VICE PRESIDENT direct 2014-06-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2014-10-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2000-02-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SMH GROUP INVESTMENT ADVISORS INC. DIRECTOR direct 2005-12-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC DIRECTOR indirect 2000-02-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2000-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2014-10-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS direct 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT direct 2016-07-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS LLC CEO AND CHAIRMAN OF THE BOARD (9/2015) direct 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2000-02-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2000-02-01
SANDERS MORRIS HARRIS INC. CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN/SROP direct 2000-02-01
SMH CAPITAL INC. CHAIRMAN direct 2000-02-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2014-10-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2000-02-01
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2000-10-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2014-10-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC VP direct 2015-09-01
SMH CAPITAL ADVISORS LLC BOARD OF MANGERS direct 2015-09-01
CHARLOTTE CAPITAL, LLC MANAGING COMMITTEE MEMBER direct 2004-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2000-02-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2014-10-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC VP direct 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01

WhaleScore history for SANDERS MORRIS HARRIS LLC

You must have a subscription to view WhaleScore histories

Elevate your investments