SONTAG ADVISORY, LLC

HTTP://WWW.SONTAGADVISORY.COM NEW YORK, NY Investment Advisor How do I update this listing?

Sontag Advisory is based out of New York. Sontag Advisory is a large advisory firm with 1213 clients and discretionary assets under management (AUM) of $5,270,391,620 (Form ADV from 2017-07-01). Their last reported 13F filing for Q4 2018 included $1,037,671,000 in managed 13F securities and a top 10 holdings concentration of 87.03%. Sontag Advisory's largest holding is Vanguard FTSE Developed Markets ETF with shares held of 5,159,333. Whalewisdom has at least 1 13F filings

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12/31/2018

Top Sells

  • Name% Change

12/31/2018

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 2.4%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SONTAG ADVISORY LLC
Classified as Hedge Fund
295 MADISON AVE. 5TH FLOOR
NEW YORK NY    10017
Country: United States

Business Phone: (212) 973-1200
Fax: (212) 973-1210
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NY
Number of employees: 44
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 1,093,800,000
Total Number of Clients: 1213
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

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SONTAG ADVISORY LLC

ownership team - last updated 2018-12-14
Name Title Start Date Direct/Indirect % Ownership
DELGASS, MICHAEL, NICHOLAS MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2005-07-01
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2005-07-01
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
SONTAG, HOWARD, VAUGHN SR. MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC SR. MANAGING DIRECTOR direct 2014-01-01
SONTAG ADVISORY LLC MANAGING MEMBER direct 1995-04-01 2005-07-19
SONTAG ADVISORY LLC PRESIDENT direct 2005-08-01 2014-03-03
LEVY-LEROY, DONNA MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
SONTAG ADVISORY LLC SENIOR INVESTMENT ADVISOR direct 2000-02-01 2002-03-21
SONTAG ADVISORY LLC CHEIF INVESTMENT OFFICER direct 2000-02-01 2004-12-14
SONTAG ADVISORY LLC CHIEF INVESTMENT OFFICER direct 2000-02-01 2013-09-03
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2000-02-01 2014-03-03
FASANO, CRAIG, MICHAEL MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2004-05-01
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2004-05-01
SONTAG ADVISORY LLC SECRETARY direct 2004-05-01
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
NFP CORP. SHAREHOLDER 08/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
LENOX WEALTH ADVISORS, INC. SHAREHOLDER direct 2011-06-01
KESTRA PRIVATE WEALTH SERVICES, LLC MANAGING MEMBER direct 2014-03-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2014-11-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER, MEMBER indirect 2014-11-01
FLEXPATH STRATEGIES LLC MEMBER direct 2014-12-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. SHAREHOLDER direct 2016-09-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. SHAREHOLDER direct 1999-01-01
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER direct 1999-11-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP LIMITED PARTNER direct 1999-11-01
PROPLANCO INC SHAREHOLDER IN NFP indirect 2000-05-01
PROPLANCO INC PARTNER IN APOLLO FUND indirect 2000-05-01
PROPLANCO INC GP OF APOLLO FUND indirect 2000-05-01
PROPLANCO INC SHAREHOLDER direct 2000-05-01
PROPLANCO INC PARTNER IN APOLLO FUND indirect 2000-05-01
PROPLANCO INC SHAREHOLDER IN NFP indirect 2000-05-01
P&A DMF, INC. SHAREHOLDER direct 2000-07-01
LINN & ASSOCIATES INC SHAREHOLDER direct 2002-06-01
MELTZER WEALTH MANAGEMENT SHAREHOLDER indirect 2002-08-01
RETIREMENT INVESTMENT ADVISORS INC SHAREHOLDER direct 2003-01-01
SCHMIDT FINANCIAL GROUP, INC. OWNER direct 2003-04-01
CASHMAN CONSULTING & INVESTMENTS, LLC. MEMBER,LLC direct 2004-07-01
SONTAG ADVISORY LLC SHAREHOLDER direct 2005-08-01
NFP RETIREMENT INC. SHAREHOLDER direct 2006-07-01
UA ADVISORY SERVICES, INC. SHAREHOLDER direct 2007-04-01
DIMEO SCHNEIDER & ASSOCIATES LLC 100% OWNER direct 2000-09-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 1999-11-01 2001-03-05
NFP SECURITIES, INC. SHAREHOLDER indirect 1999-01-01 2001-08-27
DELESSERT FINANCIAL SERVICES INC VICE PRESIDENT direct 2002-09-01 2004-04-06
NFP SECURITIES, INC. SHAREHOLDER direct 2001-09-01 2004-04-21
DELESSERT FINANCIAL SERVICES INC ASSISTANT CLERK direct 2002-09-01 2004-09-30
DIMEO SCHNEIDER & ASSOCIATES LLC MEMBER-LLC direct 2000-09-01 2005-04-08
STRATEGIC CAPITAL MANAGEMENT INC SHAREHOLDER direct 2002-04-01 2005-07-20
INNOVEST FINANCIAL MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2007-04-11
P&A FUND MANAGEMENT, INC. SHAREHOLDER direct 2000-07-01 2007-05-07
SONTAG ADVISORY LLC MEMBER,LLC direct 2005-08-01 2007-06-15
FFR FINANCIAL & INSURANCE SERVICES LLC OWNER direct 1999-01-01 2008-07-30
PEREGRINE ADVISERS INC SHAREHOLDER direct 2001-07-01 2009-06-01
MODERN PORTFOLIO MANAGEMENT INC SHAREHOLDER direct 2003-03-01 2010-01-06
DELESSERT FINANCIAL SERVICES INC SHAREHOLDER direct 2002-09-01 2012-05-02
PROVISE MANAGEMENT GROUP, LLC MEMBER direct 2002-02-01 2013-02-19
401(K) ADVISORS, INC. SHAREHOLDER direct 2006-08-01 2013-05-31
LENOX WEALTH ADVISORS, INC. PARENT ORGANIZATION direct 2011-06-01 2014-03-24
DIMEO SCHNEIDER & ASSOCIATES LLC SHAREHOLDER direct 2000-09-01 2014-03-27
NFP INDESUITE, INC. 100% SHAREHOLDER direct 2009-06-01 2014-09-02
NFP SECURITIES, INC. 100% SHAREHOLDER direct 2001-09-01 2014-09-23
BEACON RETIREMENT PLANNING SERVICES INC. SHAREHOLDER direct 2000-01-01 2014-11-19
PROVISE MANAGEMENT GROUP, LLC SHAREHOLDER direct 2002-02-01 2014-12-09
FLEXPATH STRATEGIES LLC OWNER direct 2014-12-01 2015-01-23
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2014-11-01 2015-03-26
RETIREMENT INVESTMENT ADVISORS INC 100% SHAREHOLDER direct 2003-01-01 2016-02-23
WASHINGTON WEALTH MANAGEMENT, LLC SHAREHOLDER direct 2014-03-01 2016-04-27
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER direct 2014-03-01 2016-10-12
SCHNEIDER, BRETT, RONALD DIRECTOR 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MODERN PORTFOLIO MANAGEMENT INC DIRECTOR direct 2009-01-01
PROVISE MANAGEMENT GROUP, LLC DIRECTOR direct 2009-01-01
DELESSERT FINANCIAL SERVICES INC DIRECTOR direct 2009-01-01
SONTAG ADVISORY LLC DIRECTOR direct 2009-01-01
RETIREMENT INVESTMENT ADVISORS INC DIRECTOR direct 2009-01-01
DIMEO SCHNEIDER & ASSOCIATES LLC DIRECTOR direct 2009-01-01
BEACON RETIREMENT PLANNING SERVICES INC. DIRECTOR direct 2009-01-01
P&A CAPITAL ADVISORS, INC. DIRECTOR direct 2009-01-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. DIRECTOR direct 2009-01-01
NFP RETIREMENT INC. DIRECTOR direct 2009-01-01
401(K) ADVISORS, INC. DIRECTOR direct 2010-03-01
UA ADVISORY SERVICES, INC. DIRECTOR direct 2009-01-01
KESTRA PRIVATE WEALTH SERVICES, LLC DIRECTOR direct 2009-01-01
LENOX WEALTH ADVISORS, INC. DIRECTOR direct 2011-11-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. DIRECTOR direct 2016-09-01
LIESER, LORI, MICHELL VICE PRESIDENT 08/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MODERN PORTFOLIO MANAGEMENT INC VICE PRESIDENT direct 2003-03-01
PROVISE MANAGEMENT GROUP, LLC VICE PRESIDENT direct 2002-02-01
SONTAG ADVISORY LLC VICE PRESIDENT direct 2005-08-01
RETIREMENT INVESTMENT ADVISORS INC VICE PRESIDENT direct 2003-01-01
DIMEO SCHNEIDER & ASSOCIATES LLC VICE PRESIDENT direct 2004-02-01
BEACON RETIREMENT PLANNING SERVICES INC. VICE PRESIDENT direct 2000-04-01
P&A CAPITAL ADVISORS, INC. VICE PRESIDENT direct 2000-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. VICE PRESIDENT direct 2009-01-01
NFP RETIREMENT INC. VICE PRESIDENT direct 2006-07-01
THE BAY RIDGE GROUP ADVISORY SERVICES, INC. VICE PRESIDENT direct 2008-04-01
WASHINGTON WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2014-03-01
LENOX WEALTH ADVISORS, INC. VICE PRESIDENT direct 2011-06-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. VICE PRESIDENT direct 2016-09-01
ROSS, ROBERT, KARL CHIEF COMPLIANCE OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2011-12-01
KAVAR CAPITAL PARTNERS, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2010-11-01
ROSS, ROBERT MANAGER / CHIEF COMPLIANCE OFFICER direct 2010-12-01
ARROW WEALTH, LLC CHIEF COMPLIANCE OFFICER direct 2011-02-01
LINEGUARD INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
ALPINE FINANCIAL ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2011-02-01
BAXTER WEALTH, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
BATHURST WEALTH, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
AUBORN WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2011-04-01
MACLENDON WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2011-05-01
AVIAD WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-08-01
ARROWLEAF WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-09-01
SONTAG, ERIC, MATTHEW CHIEF OPERATIONS OFFICER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF OPERATIONS OFFICER direct 2011-11-01
STANIFORD, MARTHA, SIMPSON MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2003-02-01
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
O'MALLEY, EDWARD, GEORGE DIRECTOR 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC DIRECTOR direct 2015-02-01
RETIREMENT INVESTMENT ADVISORS INC DIRECTOR direct 2015-02-01
DIMEO SCHNEIDER & ASSOCIATES LLC DIRECTOR direct 2010-05-01
P&A CAPITAL ADVISORS, INC. DIRECTOR direct 2015-02-01
NFP CORPORATE SERVICES (MN), INC. DIRECTOR direct 2015-02-01
LENOX WEALTH ADVISORS, INC. DIRECTOR direct 2015-02-01
EVAN, MICHAEL, ANDREW DRECTOR 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC DRECTOR direct 2013-09-01
RETIREMENT INVESTMENT ADVISORS INC DIRECTOR direct 2013-09-01
P&A CAPITAL ADVISORS, INC. VICE PRESIDENT/DIRECTOR direct 2013-09-01
NFP CORPORATE SERVICES (MN), INC. VICE PRESIDENT direct 2014-10-01
LENOX WEALTH ADVISORS, INC. DIRECTOR/VICE PRESIDENT direct 2013-09-01
LENOX WEALTH ADVISORS, INC. DIRECTOR direct 2013-09-01
MOO, VERONICA, EI CHUN DIRECTOR 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
P&A CAPITAL ADVISORS, INC. VICE PRESIDENT AND ASSISTANT SECRETARY direct 2013-09-01
NFP CORPORATE SERVICES (MN), INC. VICE PRESIDENT, ASSISTANT SECRETARY direct 2014-10-01
NFP INTERMEDIATE HOLDINGS B. CORP. OWNER NFP CORP. 07/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2013-07-01
NFP SECURITIES, INC. OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
401(K) ADVISORS, INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
NFP INTERMEDIATE HOLDINGS A. CORP. OWNER NFP INTERMEDIATE HOLDINGS B. CORP. 07/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NFP SECURITIES, INC. OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
401(K) ADVISORS, INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
WASHINGTON WEALTH MANAGEMENT, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
NFP PARENT CO, LLC OWNER NFP INTERMEDIATE HOLDINGS A. CORP. 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NFP ADVISOR SERVICES, LLC OWNER indirect 2014-10-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2014-10-01
SONTAG ADVISORY LLC OWNER indirect 2014-10-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2014-10-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2014-10-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2014-10-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2014-10-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2014-10-01
NFP RETIREMENT INC. OWNER indirect 2014-10-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2014-10-01
NFP RIA SERVICES, LLC OWNER indirect 2014-10-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2014-10-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC OWNER indirect 2014-10-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2014-10-01
NFP HOLDINGS, LLC OWNER NFP PARENT CO, LLC 07/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NFP SECURITIES, INC. OWNER indirect 2013-07-01
NFP ADVISOR SERVICES, LLC OWNER indirect 2014-10-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC MEMBER indirect 2014-10-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2014-10-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2014-10-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER, MEMBER indirect 2014-10-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2014-10-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. OWNER indirect 2013-07-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
NFP RIA SERVICES OWNER indirect 2014-10-01
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2014-10-01
NFP ADVISOR SERVICES LLC OWNER indirect 2014-10-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2013-07-01
MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P. OWNER NFP ULTIMATE HOLDINGS, LLC 07/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NFP ADVISOR SERVICES, LLC OWNER indirect 2013-07-01
NFP ADVISOR SERVICES, LLC OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC MEMBER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER, MEMBER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
401(K) ADVISORS, INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC OWNER indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2013-07-01
MADISON DEARBORN PARTNERS VI-A&C, L.P. GENERAL PARTNER MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P. 07/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
NFP SECURITIES, INC. MANAGER AND GP OF OTHER MANAGERS indirect 2013-07-01
NFP ADVISOR SERVICES, LLC MANAGER AND GP OF OTHER MANAGERS indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC GENERAL PARTNER indirect 2013-07-01
SONTAG ADVISORY LLC GENERAL PARTNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. GENERAL PARTNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. GENERAL PARTNER indirect 2013-07-01
NFP RETIREMENT INC. GENERAL PARTNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2013-07-01
NFP RIA SERVICES GENERAL PARTNER indirect 2013-07-01
KESTRA PRIVATE WEALTH SERVICES, LLC GENERAL PARTNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC GENERAL PARTNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC MANAGER AND GP OF OTHER MANAGERS indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
MADISON DEARBORN PARTNERS GENERAL PARTNER MADISON DEARBORN PARTNERS VI-A&C, L.P. 07/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
NFP ADVISOR SERVICES, LLC MANAGING MEMBER indirect 2013-07-01
NUVEEN FUND ADVISORS, LLC GENERAL PARTNER indirect 2007-11-01
NUVEEN FUND ADVISORS, LLC MANAGING MEMBER indirect 2007-11-01
PROVISE MANAGEMENT GROUP, LLC GENERAL PARTNER indirect 2013-07-01
SONTAG ADVISORY LLC GENERAL PARTNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
WINSLOW CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2007-11-01
BEACON RETIREMENT PLANNING SERVICES INC. GENERAL PARTNER indirect 2013-07-01
SYMPHONY ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2007-11-01
P&A CAPITAL ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. GENERAL PARTNER indirect 2013-07-01
NFP RETIREMENT INC. GENERAL PARTNER indirect 2013-07-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC GENERAL PARTNER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. MANAGING MEMBER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. GENERAL PARTNER indirect 2007-11-01
GRESHAM INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2007-11-01
UA ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
SANTA BARBARA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC GENERAL PARTNER indirect 2007-11-01
ORION INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2013-07-01
NFP RIA SERVICES, LLC GENERAL PARTNER indirect 2013-07-01
WASHINGTON WEALTH MANAGEMENT, LLC GENERAL PARTNER indirect 2013-07-01
NUVEEN ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-12-01
NUVEEN ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
LENOX WEALTH ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC GENERAL PARTNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC MANAGING MEMBER indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
NFP ULTIMATE HOLDINGS, LLC OWNER NFP HOLDINGS, LLC 02/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC OWNER indirect 2017-02-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2017-02-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2017-02-01
NFP RETIREMENT INC. OWNER indirect 2017-02-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2017-02-01
FLEXPATH STRATEGIES LLC OWNER indirect 2017-02-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2017-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SONTAG SPECIAL OPPORTUNITIES FUND United States 805-3994343459 Hedge Fund 3,038 0 Fund of Funds

SONTAG ADVISORY LLC

ownership team - last updated 2018-04-09
Name Title Start Date Direct/Indirect % Ownership
SONTAG, HOWARD, VAUGHN SR. MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC SR. MANAGING DIRECTOR direct 2014-01-01
SONTAG ADVISORY LLC MANAGING MEMBER direct 1995-04-01 2005-07-19
SONTAG ADVISORY LLC PRESIDENT direct 2005-08-01 2014-03-03
LEVY-LEROY, DONNA MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
SONTAG ADVISORY LLC SENIOR INVESTMENT ADVISOR direct 2000-02-01 2002-03-21
SONTAG ADVISORY LLC CHEIF INVESTMENT OFFICER direct 2000-02-01 2004-12-14
SONTAG ADVISORY LLC CHIEF INVESTMENT OFFICER direct 2000-02-01 2013-09-03
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2000-02-01 2014-03-03
FASANO, CRAIG, MICHAEL MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2004-05-01
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2004-05-01
SONTAG ADVISORY LLC SECRETARY direct 2004-05-01
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
DELGASS, MICHAEL, NICHOLAS MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2005-07-01
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2005-07-01
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
NFP CORP. SHAREHOLDER 08/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
LENOX WEALTH ADVISORS, INC. SHAREHOLDER direct 2011-06-01
KESTRA PRIVATE WEALTH SERVICES, LLC MANAGING MEMBER direct 2014-03-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2014-11-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER, MEMBER indirect 2014-11-01
FLEXPATH STRATEGIES LLC MEMBER direct 2014-12-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. SHAREHOLDER direct 2016-09-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. SHAREHOLDER direct 1999-01-01
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER direct 1999-11-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP LIMITED PARTNER direct 1999-11-01
PROPLANCO INC SHAREHOLDER IN NFP indirect 2000-05-01
PROPLANCO INC PARTNER IN APOLLO FUND indirect 2000-05-01
PROPLANCO INC GP OF APOLLO FUND indirect 2000-05-01
PROPLANCO INC SHAREHOLDER direct 2000-05-01
PROPLANCO INC PARTNER IN APOLLO FUND indirect 2000-05-01
PROPLANCO INC SHAREHOLDER IN NFP indirect 2000-05-01
P&A DMF, INC. SHAREHOLDER direct 2000-07-01
LINN & ASSOCIATES INC SHAREHOLDER direct 2002-06-01
MELTZER WEALTH MANAGEMENT SHAREHOLDER indirect 2002-08-01
RETIREMENT INVESTMENT ADVISORS INC SHAREHOLDER direct 2003-01-01
SCHMIDT FINANCIAL GROUP, INC. OWNER direct 2003-04-01
CASHMAN CONSULTING & INVESTMENTS, LLC. MEMBER,LLC direct 2004-07-01
SONTAG ADVISORY LLC SHAREHOLDER direct 2005-08-01
NFP RETIREMENT INC. SHAREHOLDER direct 2006-07-01
UA ADVISORY SERVICES, INC. SHAREHOLDER direct 2007-04-01
DIMEO SCHNEIDER & ASSOCIATES LLC 100% OWNER direct 2000-09-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 1999-11-01 2001-03-05
NFP SECURITIES, INC. SHAREHOLDER indirect 1999-01-01 2001-08-27
DELESSERT FINANCIAL SERVICES INC VICE PRESIDENT direct 2002-09-01 2004-04-06
NFP SECURITIES, INC. SHAREHOLDER direct 2001-09-01 2004-04-21
DELESSERT FINANCIAL SERVICES INC ASSISTANT CLERK direct 2002-09-01 2004-09-30
DIMEO SCHNEIDER & ASSOCIATES LLC MEMBER-LLC direct 2000-09-01 2005-04-08
STRATEGIC CAPITAL MANAGEMENT INC SHAREHOLDER direct 2002-04-01 2005-07-20
INNOVEST FINANCIAL MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2007-04-11
P&A FUND MANAGEMENT, INC. SHAREHOLDER direct 2000-07-01 2007-05-07
SONTAG ADVISORY LLC MEMBER,LLC direct 2005-08-01 2007-06-15
FFR FINANCIAL & INSURANCE SERVICES LLC OWNER direct 1999-01-01 2008-07-30
PEREGRINE ADVISERS INC SHAREHOLDER direct 2001-07-01 2009-06-01
MODERN PORTFOLIO MANAGEMENT INC SHAREHOLDER direct 2003-03-01 2010-01-06
DELESSERT FINANCIAL SERVICES INC SHAREHOLDER direct 2002-09-01 2012-05-02
PROVISE MANAGEMENT GROUP, LLC MEMBER direct 2002-02-01 2013-02-19
401(K) ADVISORS, INC. SHAREHOLDER direct 2006-08-01 2013-05-31
LENOX WEALTH ADVISORS, INC. PARENT ORGANIZATION direct 2011-06-01 2014-03-24
DIMEO SCHNEIDER & ASSOCIATES LLC SHAREHOLDER direct 2000-09-01 2014-03-27
NFP INDESUITE, INC. 100% SHAREHOLDER direct 2009-06-01 2014-09-02
NFP SECURITIES, INC. 100% SHAREHOLDER direct 2001-09-01 2014-09-23
BEACON RETIREMENT PLANNING SERVICES INC. SHAREHOLDER direct 2000-01-01 2014-11-19
PROVISE MANAGEMENT GROUP, LLC SHAREHOLDER direct 2002-02-01 2014-12-09
FLEXPATH STRATEGIES LLC OWNER direct 2014-12-01 2015-01-23
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2014-11-01 2015-03-26
RETIREMENT INVESTMENT ADVISORS INC 100% SHAREHOLDER direct 2003-01-01 2016-02-23
WASHINGTON WEALTH MANAGEMENT, LLC SHAREHOLDER direct 2014-03-01 2016-04-27
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER direct 2014-03-01 2016-10-12
SCHNEIDER, BRETT, RONALD DIRECTOR 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MODERN PORTFOLIO MANAGEMENT INC DIRECTOR direct 2009-01-01
PROVISE MANAGEMENT GROUP, LLC DIRECTOR direct 2009-01-01
DELESSERT FINANCIAL SERVICES INC DIRECTOR direct 2009-01-01
SONTAG ADVISORY LLC DIRECTOR direct 2009-01-01
RETIREMENT INVESTMENT ADVISORS INC DIRECTOR direct 2009-01-01
DIMEO SCHNEIDER & ASSOCIATES LLC DIRECTOR direct 2009-01-01
BEACON RETIREMENT PLANNING SERVICES INC. DIRECTOR direct 2009-01-01
P&A CAPITAL ADVISORS, INC. DIRECTOR direct 2009-01-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. DIRECTOR direct 2009-01-01
NFP RETIREMENT INC. DIRECTOR direct 2009-01-01
401(K) ADVISORS, INC. DIRECTOR direct 2010-03-01
UA ADVISORY SERVICES, INC. DIRECTOR direct 2009-01-01
KESTRA PRIVATE WEALTH SERVICES, LLC DIRECTOR direct 2009-01-01
LENOX WEALTH ADVISORS, INC. DIRECTOR direct 2011-11-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. DIRECTOR direct 2016-09-01
LIESER, LORI, MICHELL VICE PRESIDENT 08/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MODERN PORTFOLIO MANAGEMENT INC VICE PRESIDENT direct 2003-03-01
PROVISE MANAGEMENT GROUP, LLC VICE PRESIDENT direct 2002-02-01
SONTAG ADVISORY LLC VICE PRESIDENT direct 2005-08-01
RETIREMENT INVESTMENT ADVISORS INC VICE PRESIDENT direct 2003-01-01
DIMEO SCHNEIDER & ASSOCIATES LLC VICE PRESIDENT direct 2004-02-01
BEACON RETIREMENT PLANNING SERVICES INC. VICE PRESIDENT direct 2000-04-01
P&A CAPITAL ADVISORS, INC. VICE PRESIDENT direct 2000-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. VICE PRESIDENT direct 2009-01-01
NFP RETIREMENT INC. VICE PRESIDENT direct 2006-07-01
THE BAY RIDGE GROUP ADVISORY SERVICES, INC. VICE PRESIDENT direct 2008-04-01
WASHINGTON WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2014-03-01
LENOX WEALTH ADVISORS, INC. VICE PRESIDENT direct 2011-06-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. VICE PRESIDENT direct 2016-09-01
ROSS, ROBERT, KARL CHIEF COMPLIANCE OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2011-12-01
KAVAR CAPITAL PARTNERS, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2010-11-01
ROSS, ROBERT MANAGER / CHIEF COMPLIANCE OFFICER direct 2010-12-01
ARROW WEALTH, LLC CHIEF COMPLIANCE OFFICER direct 2011-02-01
LINEGUARD INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
ALPINE FINANCIAL ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2011-02-01
BAXTER WEALTH, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
BATHURST WEALTH, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
AUBORN WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2011-04-01
MACLENDON WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2011-05-01
AVIAD WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-08-01
ARROWLEAF WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-09-01
SONTAG, ERIC, MATTHEW CHIEF OPERATIONS OFFICER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF OPERATIONS OFFICER direct 2011-11-01
STANIFORD, MARTHA, SIMPSON MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC EXECUTIVE VICE PRESIDENT direct 2003-02-01
SONTAG ADVISORY LLC MANAGING DIRECTOR direct 2014-01-01
O'MALLEY, EDWARD, GEORGE DIRECTOR 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC DIRECTOR direct 2015-02-01
RETIREMENT INVESTMENT ADVISORS INC DIRECTOR direct 2015-02-01
DIMEO SCHNEIDER & ASSOCIATES LLC DIRECTOR direct 2010-05-01
P&A CAPITAL ADVISORS, INC. DIRECTOR direct 2015-02-01
NFP CORPORATE SERVICES (MN), INC. DIRECTOR direct 2015-02-01
LENOX WEALTH ADVISORS, INC. DIRECTOR direct 2015-02-01
EVAN, MICHAEL, ANDREW DRECTOR 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC DRECTOR direct 2013-09-01
RETIREMENT INVESTMENT ADVISORS INC DIRECTOR direct 2013-09-01
P&A CAPITAL ADVISORS, INC. VICE PRESIDENT/DIRECTOR direct 2013-09-01
NFP CORPORATE SERVICES (MN), INC. VICE PRESIDENT direct 2014-10-01
LENOX WEALTH ADVISORS, INC. DIRECTOR/VICE PRESIDENT direct 2013-09-01
LENOX WEALTH ADVISORS, INC. DIRECTOR direct 2013-09-01
MOO, VERONICA, EI CHUN DIRECTOR 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
P&A CAPITAL ADVISORS, INC. VICE PRESIDENT AND ASSISTANT SECRETARY direct 2013-09-01
NFP CORPORATE SERVICES (MN), INC. VICE PRESIDENT, ASSISTANT SECRETARY direct 2014-10-01
NFP INTERMEDIATE HOLDINGS B. CORP. OWNER NFP CORP. 07/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2013-07-01
NFP SECURITIES, INC. OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
401(K) ADVISORS, INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
NFP INTERMEDIATE HOLDINGS A. CORP. OWNER NFP INTERMEDIATE HOLDINGS B. CORP. 07/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NFP SECURITIES, INC. OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
401(K) ADVISORS, INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
WASHINGTON WEALTH MANAGEMENT, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
NFP PARENT CO, LLC OWNER NFP INTERMEDIATE HOLDINGS A. CORP. 10/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NFP ADVISOR SERVICES, LLC OWNER indirect 2014-10-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2014-10-01
SONTAG ADVISORY LLC OWNER indirect 2014-10-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2014-10-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2014-10-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2014-10-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2014-10-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2014-10-01
NFP RETIREMENT INC. OWNER indirect 2014-10-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2014-10-01
NFP RIA SERVICES, LLC OWNER indirect 2014-10-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2014-10-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC OWNER indirect 2014-10-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2014-10-01
NFP HOLDINGS, LLC OWNER NFP PARENT CO, LLC 07/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NFP SECURITIES, INC. OWNER indirect 2013-07-01
NFP ADVISOR SERVICES, LLC OWNER indirect 2014-10-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC MEMBER indirect 2014-10-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2014-10-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2014-10-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER, MEMBER indirect 2014-10-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2014-10-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. OWNER indirect 2013-07-01
NFP CORPORATE SERVICES (MN), INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
NFP RETIREMENT INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
NFP RIA SERVICES OWNER indirect 2014-10-01
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2014-10-01
NFP ADVISOR SERVICES LLC OWNER indirect 2014-10-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2013-07-01
MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P. OWNER NFP ULTIMATE HOLDINGS, LLC 07/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NFP ADVISOR SERVICES, LLC OWNER indirect 2013-07-01
NFP ADVISOR SERVICES, LLC OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC MEMBER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
SONTAG ADVISORY LLC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER, MEMBER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2013-07-01
401(K) ADVISORS, INC. OWNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. OWNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2013-07-01
NFP INDESUITE, INC. OWNER indirect 2013-07-01
KESTRA PRIVATE WEALTH SERVICES, LLC OWNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. OWNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC OWNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC OWNER indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2013-07-01
MADISON DEARBORN PARTNERS VI-A&C, L.P. GENERAL PARTNER MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P. 07/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
NFP SECURITIES, INC. MANAGER AND GP OF OTHER MANAGERS indirect 2013-07-01
NFP ADVISOR SERVICES, LLC MANAGER AND GP OF OTHER MANAGERS indirect 2013-07-01
PROVISE MANAGEMENT GROUP, LLC GENERAL PARTNER indirect 2013-07-01
SONTAG ADVISORY LLC GENERAL PARTNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
BEACON RETIREMENT PLANNING SERVICES INC. GENERAL PARTNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. GENERAL PARTNER indirect 2013-07-01
NFP RETIREMENT INC. GENERAL PARTNER indirect 2013-07-01
UA ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
ORION INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2013-07-01
NFP RIA SERVICES GENERAL PARTNER indirect 2013-07-01
KESTRA PRIVATE WEALTH SERVICES, LLC GENERAL PARTNER indirect 2013-07-01
LENOX WEALTH ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC GENERAL PARTNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC MANAGER AND GP OF OTHER MANAGERS indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
MADISON DEARBORN PARTNERS GENERAL PARTNER MADISON DEARBORN PARTNERS VI-A&C, L.P. 07/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
NFP ADVISOR SERVICES, LLC MANAGING MEMBER indirect 2013-07-01
NUVEEN FUND ADVISORS, LLC GENERAL PARTNER indirect 2007-11-01
NUVEEN FUND ADVISORS, LLC MANAGING MEMBER indirect 2007-11-01
PROVISE MANAGEMENT GROUP, LLC GENERAL PARTNER indirect 2013-07-01
SONTAG ADVISORY LLC GENERAL PARTNER indirect 2013-07-01
RETIREMENT INVESTMENT ADVISORS INC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
DIMEO SCHNEIDER & ASSOCIATES LLC GENERAL PARTNER indirect 2013-07-01
WINSLOW CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2007-11-01
BEACON RETIREMENT PLANNING SERVICES INC. GENERAL PARTNER indirect 2013-07-01
SYMPHONY ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2007-11-01
P&A CAPITAL ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
P&A CAPITAL ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. GENERAL PARTNER indirect 2013-07-01
NFP RETIREMENT INC. GENERAL PARTNER indirect 2013-07-01
NWQ INVESTMENT MANAGEMENT COMPANY, LLC GENERAL PARTNER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. MANAGING MEMBER indirect 2007-11-01
NUVEEN INVESTMENTS ADVISERS INC. GENERAL PARTNER indirect 2007-11-01
GRESHAM INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2007-11-01
UA ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
SANTA BARBARA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-11-01
TRADEWINDS GLOBAL INVESTORS, LLC GENERAL PARTNER indirect 2007-11-01
ORION INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2013-07-01
NFP RIA SERVICES, LLC GENERAL PARTNER indirect 2013-07-01
WASHINGTON WEALTH MANAGEMENT, LLC GENERAL PARTNER indirect 2013-07-01
NUVEEN ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-12-01
NUVEEN ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
LENOX WEALTH ADVISORS, INC. GENERAL PARTNER indirect 2013-07-01
FLEXPATH STRATEGIES LLC GENERAL PARTNER indirect 2013-07-01
NFP ADVISOR SERVICES LLC MANAGING MEMBER indirect 2013-07-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. GENERAL PARTNER indirect 2013-07-01
NFP ULTIMATE HOLDINGS, LLC OWNER NFP HOLDINGS, LLC 02/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC OWNER indirect 2017-02-01
RETIREMENT INVESTMENT ADVISORS INC OWNER indirect 2017-02-01
P&A CAPITAL ADVISORS, INC. OWNER indirect 2017-02-01
NFP RETIREMENT INC. OWNER indirect 2017-02-01
ORION INVESTMENT ADVISORS, LLC OWNER indirect 2017-02-01
FLEXPATH STRATEGIES LLC OWNER indirect 2017-02-01
SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. OWNER indirect 2017-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SONTAG SPECIAL OPPORTUNITIES FUND United States 805-3994343459 Hedge Fund 3,038 0 Fund of Funds

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