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 1197 clients and discretionary assets under management (AUM) of $4,994,191,084 (Form ADV from 2018-07-01). Their last reported 13F filing for Q1 2019 included $1,078,390,000 in managed 13F securities and a top 10 holdings concentration of 91.83%. Sontag Advisory's largest holding is Vanguard FTSE Developed Markets ETF with shares held of 5,221,719. Whalewisdom has at least 2 13F filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $1.078 Billion
  • Prior Market Value $1.038 Billion
  • New Purchases0 stocks
  • Additional Purchases21 stocks
  • Sold out of904 stocks
  • Reduced holdings in19 stocks
  • Top 10 Holdings % 91.83 %
  • Turnover % [1]:2,054.55%
  • Turnover Alt % [2]: 7.39 %
  • Time Held Top20:0.90 quarters
  • Time Held Top10:1.00 quarters
  • Time Held All:1.00 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: 2.52%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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

View Last Form Adv Compilation Report on Record

SONTAG ADVISORY LLC
Classified as Hedge Fund
521 FIFTH AVENUE 15TH FLOOR
NEW YORK NY    10175
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: 40
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 2,565,970,000
Total Number of Clients: 1197
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 2019-03-28
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 3,000 0 Fund of Funds

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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