SPEARS ABACUS ADVISORS LLC

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Spears Abacus Advisors is based out of New York. Spears Abacus Advisors is a large advisory firm with 410 clients and discretionary assets under management (AUM) of $1,346,500,000 (Form ADV from 2018-11-01). Their last reported 13F filing for Q4 2019 included $935,038,000 in managed 13F securities and a top 10 holdings concentration of 47.31%. Spears Abacus Advisors's largest holding is Microsoft Corp. with shares held of 461,022. Spears Abacus Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 49 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $935.038 Million
  • Prior Market Value $862.265 Million
  • New Purchases17 stocks
  • Additional Purchases76 stocks
  • Sold out of12 stocks
  • Reduced holdings in26 stocks
  • Top 10 Holdings % 47.32 %
  • Turnover % [1]:15.68%
  • Turnover Alt % [2]: 3.99 %
  • Time Held Top20:20.10 quarters
  • Time Held Top10:13.70 quarters
  • Time Held All:19.10 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 2020-02-14

Performance for Q4 2019: 6.22%
Performance Last 4 Quarters: 28.35%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SPEARS ABACUS ADVISORS LLC
147 EAST 48TH STREET
NEW YORK NY    10017
Country: United States

Business Phone: 212-230-9865
Fax: 212-230-9861
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 12
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 204,400,000
Total Number of Clients: 410
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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SPEARS ABACUS ADVISORS LLC

ownership team - last updated 2019-10-10
Name Title Start Date Direct/Indirect % Ownership
SPEARS & CO. LLC MEMBER 11/01/2006 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC MEMBER direct 2006-11-01
SPEARS, WILLIAM, GERLI CHAIRMAN, PORTFOLIO MANAGER, AND MANAGER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER & MEMBER indirect 2006-11-01
SPEARS ABACUS ADVISORS LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER direct 2007-01-01
KEY ASSET MANAGEMENT INC DIRECTOR, CHAIRMAN & SENIOR MANAGING DIRECTOR direct 1999-06-01 2001-09-14
SPEARS GRISANTI & BROWN LLC DIRECTOR AND PRINCIPAL direct 1999-06-01 2005-09-12
SPEARS GRISANTI & BROWN LLC MANAGER AND PRINCIPAL direct 1999-06-01 2006-10-31
WG SPEARS LLC PRESIDENT direct 2006-11-01 2006-12-01
SPEARS ABACUS ADVISORS LLC CHIEF EXECUTIVE OFFICER AND MANAGER direct 2007-01-01 2016-03-14
BELLER, KATHRYN, PAYNE CHIEF COMPLIANCE OFFICER 11/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDMAN CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
LAWRENCE CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
LAWRENCE CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
SCHNALL ADVISORY SERVICES, INC CHIEF COMPLIANCE OFFICER direct 2016-03-01
UNITED ASSET STRATEGIES INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
SOUTH STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
INCOME & ASSET ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
MERCURY REAL ESTATE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CAPITAL PRESERVATION PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2009-11-01
COLCHESTER INVESTMENT COUNSEL LLC CHIEF COMPLIANCE OFFICER direct 2006-07-01
DOVER CORPORATE RESPONSIBILITY MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2007-02-01
PELION INVESTMENT ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
TARGET U.S. MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-11-01
WILFRID AUBREY LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
DUNBAR CAPITAL INVESTORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-11-01
MARKETFIELD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2008-10-01
SPEARS ABACUS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-11-01
ORCA ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-12-01
HOLDING CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2008-11-01
DOVER INVESTMENT FUNDS LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
DCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-05-01
GREENHEART CAPITAL PARTNERS LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT direct 2012-01-01
BOWERY INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
G. SCOTT CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2017-08-01
INFRASTRUCTURE CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
MALABAR INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
UNITED WEALTH PLANNING, LLC CHIEF COMPLIANCE OFFICER direct 2015-05-01
ABACUS AND ASSOCIATES HOLDINGS, LLC MEMBER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MEMBER direct 2007-01-01
RAICH, ROBERT, MICHAEL PRESIDENT, PORTFOLIO MANAGER, MANAGER, AND MEMBER 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC PRESIDENT direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, MANAGER, AND MEMBER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, MANAGER, AND MEMBER direct 2007-04-01
SPEARS ABACUS ADVISORS LLC PRESIDENT AND MANAGER direct 2007-04-01
MACLENNAN, MARGARET, MARY PRINCIPAL, CHIEF FINANCIAL OFFICER, AND MEMBER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC CHIEF FINANCIAL OFFICER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND CHIEF FINANCIAL OFFICER direct 2007-01-01
BREECE, JAMES, ERNEST PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 01/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC RESEARCH ANALYST direct 2010-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2010-01-01
SPEARS ABACUS ADVISORS LLC RESEARCH ANALYST AND MEMBER direct 2010-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2010-01-01
PFEIFFER, PAUL, FRANK PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
EAGLE GROWTH INVESTORS LLC EXECUTIVE VICE PRESIDENT direct 1998-07-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2009-07-01
MUNN BERNHARD & ASSOCIATES INC MANAGING DIRECTOR direct 2002-12-01 2004-02-17
SPEARS ABACUS ADVISORS LLC EQUITY ANALYST direct 2010-01-01 2010-12-14
SPEARS ABACUS ADVISORS LLC EQUITY ANALYST AND MEMBER direct 2010-01-01 2011-03-25
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2010-01-01 2015-02-11
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2009-07-01 2016-03-14
RAGGIO, JOHN PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 05/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2008-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2008-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2011-04-01
MORGENTHAU, ROBERT, PATTRIDGE PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 10/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARGUS ASSETS, LLC MEMBER & PRESIDENT direct 2002-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL direct 2011-07-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2011-10-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL direct 2011-10-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2011-10-01
CLEARY, MICHELE, DAYLE PRINCIPAL AND DIRECTOR OF OPERATIONS AND ADMINISTRATION 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC DIRECTOR OF OPERATIONS AND ADMINISTRATION direct 2013-04-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND DIRECTOR OF OPERATIONS AND ADMINISTRATION direct 2013-04-01
LASSALLE, HONOR, (NMN) MANAGER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2009-03-01
SPEARS, WILLIAM, GERLI MANAGER & MEMBER SPEARS & CO. LLC 11/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER & MEMBER indirect 2006-11-01
SPEARS ABACUS ADVISORS LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER direct 2007-01-01
KEY ASSET MANAGEMENT INC DIRECTOR, CHAIRMAN & SENIOR MANAGING DIRECTOR direct 1999-06-01 2001-09-14
SPEARS GRISANTI & BROWN LLC DIRECTOR AND PRINCIPAL direct 1999-06-01 2005-09-12
SPEARS GRISANTI & BROWN LLC MANAGER AND PRINCIPAL direct 1999-06-01 2006-10-31
WG SPEARS LLC PRESIDENT direct 2006-11-01 2006-12-01
SPEARS ABACUS ADVISORS LLC CHIEF EXECUTIVE OFFICER AND MANAGER direct 2007-01-01 2016-03-14
WEIL, FRANK, ALAN MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 12/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
SPEARS ABACUS ADVISORS LLC MANAGER direct 2007-01-01
WEIL, WILLIAM, SYLVAN MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 12/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
LASSALLE, HONOR, (NMN) MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 03/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2009-03-01

SPEARS ABACUS ADVISORS LLC

ownership team - last updated 2019-03-05
Name Title Start Date Direct/Indirect % Ownership
SPEARS & CO. LLC MEMBER 11/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC MEMBER direct 2006-11-01
SPEARS, WILLIAM, GERLI CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER & MEMBER indirect 2006-11-01
SPEARS ABACUS ADVISORS LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER direct 2007-01-01
KEY ASSET MANAGEMENT INC DIRECTOR, CHAIRMAN & SENIOR MANAGING DIRECTOR direct 1999-06-01 2001-09-14
SPEARS GRISANTI & BROWN LLC DIRECTOR AND PRINCIPAL direct 1999-06-01 2005-09-12
SPEARS GRISANTI & BROWN LLC MANAGER AND PRINCIPAL direct 1999-06-01 2006-10-31
WG SPEARS LLC PRESIDENT direct 2006-11-01 2006-12-01
SPEARS ABACUS ADVISORS LLC CHIEF EXECUTIVE OFFICER AND MANAGER direct 2007-01-01 2016-03-14
BELLER, KATHRYN, PAYNE CHIEF COMPLIANCE OFFICER 11/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDMAN CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
LAWRENCE CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
LAWRENCE CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
SCHNALL ADVISORY SERVICES, INC CHIEF COMPLIANCE OFFICER direct 2016-03-01
UNITED ASSET STRATEGIES INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
SOUTH STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
INCOME & ASSET ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
MERCURY REAL ESTATE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CAPITAL PRESERVATION PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2009-11-01
COLCHESTER INVESTMENT COUNSEL LLC CHIEF COMPLIANCE OFFICER direct 2006-07-01
DOVER CORPORATE RESPONSIBILITY MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2007-02-01
PELION INVESTMENT ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
TARGET U.S. MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-11-01
WILFRID AUBREY LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
DUNBAR CAPITAL INVESTORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-11-01
MARKETFIELD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2008-10-01
SPEARS ABACUS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-11-01
ORCA ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-12-01
HOLDING CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2008-11-01
DOVER INVESTMENT FUNDS LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
DCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-05-01
GREENHEART CAPITAL PARTNERS LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT direct 2012-01-01
BOWERY INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
G. SCOTT CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2017-08-01
INFRASTRUCTURE CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
MALABAR INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
UNITED WEALTH PLANNING, LLC CHIEF COMPLIANCE OFFICER direct 2015-05-01
ABACUS AND ASSOCIATES HOLDINGS, LLC MEMBER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MEMBER direct 2007-01-01
RAICH, ROBERT, MICHAEL PRESIDENT, PORTFOLIO MANAGER, MANAGER, AND MEMBER 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC PRESIDENT direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, MANAGER, AND MEMBER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, MANAGER, AND MEMBER direct 2007-04-01
SPEARS ABACUS ADVISORS LLC PRESIDENT AND MANAGER direct 2007-04-01
MACLENNAN, MARGARET, MARY PRINCIPAL AND CHIEF FINANCIAL OFFICER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC CHIEF FINANCIAL OFFICER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND CHIEF FINANCIAL OFFICER direct 2007-01-01
WEIL, FRANK, ALAN MANAGER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
SPEARS ABACUS ADVISORS LLC MANAGER direct 2007-01-01
BREECE, JAMES, ERNEST PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 01/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC RESEARCH ANALYST direct 2010-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2010-01-01
SPEARS ABACUS ADVISORS LLC RESEARCH ANALYST AND MEMBER direct 2010-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2010-01-01
PFEIFFER, PAUL, FRANK PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
EAGLE GROWTH INVESTORS LLC EXECUTIVE VICE PRESIDENT direct 1998-07-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2009-07-01
MUNN BERNHARD & ASSOCIATES INC MANAGING DIRECTOR direct 2002-12-01 2004-02-17
SPEARS ABACUS ADVISORS LLC EQUITY ANALYST direct 2010-01-01 2010-12-14
SPEARS ABACUS ADVISORS LLC EQUITY ANALYST AND MEMBER direct 2010-01-01 2011-03-25
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2010-01-01 2015-02-11
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2009-07-01 2016-03-14
RAGGIO, JOHN PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 05/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2008-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2008-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2011-04-01
MORGENTHAU, ROBERT, PATTRIDGE PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARGUS ASSETS, LLC MEMBER & PRESIDENT direct 2002-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL direct 2011-07-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2011-10-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL direct 2011-10-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2011-10-01
CLEARY, MICHELE, DAYLE PRINCIPAL AND DIRECTOR OF OPERATIONS AND ADMINISTRATION 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC DIRECTOR OF OPERATIONS AND ADMINISTRATION direct 2013-04-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND DIRECTOR OF OPERATIONS AND ADMINISTRATION direct 2013-04-01
MARDEN, WILLIAM, WALKER PRINCIPAL AND PORTFOLIO MANAGER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC PORTFOLIO MANAGER direct 2014-09-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND PORTFOLIO MANAGER--FIXED INCOME direct 2014-09-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2014-09-01
SPEARS, WILLIAM, GERLI MANAGER & MEMBER SPEARS & CO. LLC 11/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER & MEMBER indirect 2006-11-01
SPEARS ABACUS ADVISORS LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER direct 2007-01-01
KEY ASSET MANAGEMENT INC DIRECTOR, CHAIRMAN & SENIOR MANAGING DIRECTOR direct 1999-06-01 2001-09-14
SPEARS GRISANTI & BROWN LLC DIRECTOR AND PRINCIPAL direct 1999-06-01 2005-09-12
SPEARS GRISANTI & BROWN LLC MANAGER AND PRINCIPAL direct 1999-06-01 2006-10-31
WG SPEARS LLC PRESIDENT direct 2006-11-01 2006-12-01
SPEARS ABACUS ADVISORS LLC CHIEF EXECUTIVE OFFICER AND MANAGER direct 2007-01-01 2016-03-14
WEIL, FRANK, ALAN MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 12/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
SPEARS ABACUS ADVISORS LLC MANAGER direct 2007-01-01
WEIL, WILLIAM, SYLVAN MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 12/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
LASSALLE, HONOR, (NMN) MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 03/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2009-03-01

SPEARS ABACUS ADVISORS LLC

ownership team - last updated 2017-03-10
Name Title Start Date Direct/Indirect % Ownership
SPEARS & CO. LLC MEMBER 11/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC MEMBER direct 2006-11-01
SPEARS, WILLIAM, GERLI CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER & MEMBER indirect 2006-11-01
SPEARS ABACUS ADVISORS LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER direct 2007-01-01
KEY ASSET MANAGEMENT INC DIRECTOR, CHAIRMAN & SENIOR MANAGING DIRECTOR direct 1999-06-01 2001-09-14
SPEARS GRISANTI & BROWN LLC DIRECTOR AND PRINCIPAL direct 1999-06-01 2005-09-12
SPEARS GRISANTI & BROWN LLC MANAGER AND PRINCIPAL direct 1999-06-01 2006-10-31
WG SPEARS LLC PRESIDENT direct 2006-11-01 2006-12-01
SPEARS ABACUS ADVISORS LLC CHIEF EXECUTIVE OFFICER AND MANAGER direct 2007-01-01 2016-03-14
BELLER, KATHRYN, PAYNE CHIEF COMPLIANCE OFFICER 11/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDMAN CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
LAWRENCE CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
LAWRENCE CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
SCHNALL ADVISORY SERVICES, INC CHIEF COMPLIANCE OFFICER direct 2016-03-01
UNITED ASSET STRATEGIES INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
SOUTH STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
INCOME & ASSET ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
MERCURY REAL ESTATE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CAPITAL PRESERVATION PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2009-11-01
COLCHESTER INVESTMENT COUNSEL LLC CHIEF COMPLIANCE OFFICER direct 2006-07-01
DOVER CORPORATE RESPONSIBILITY MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2007-02-01
PELION INVESTMENT ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
TARGET U.S. MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-11-01
WILFRID AUBREY LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
DUNBAR CAPITAL INVESTORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-11-01
MARKETFIELD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2008-10-01
SPEARS ABACUS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-11-01
ORCA ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-12-01
HOLDING CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2008-11-01
DOVER INVESTMENT FUNDS LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
DCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-05-01
GREENHEART CAPITAL PARTNERS LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT direct 2012-01-01
BOWERY INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
G. SCOTT CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2017-08-01
INFRASTRUCTURE CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
MALABAR INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
UNITED WEALTH PLANNING, LLC CHIEF COMPLIANCE OFFICER direct 2015-05-01
ABACUS AND ASSOCIATES HOLDINGS, LLC MEMBER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MEMBER direct 2007-01-01
RAICH, ROBERT, MICHAEL PRESIDENT, PORTFOLIO MANAGER, MANAGER, AND MEMBER 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC PRESIDENT direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, MANAGER, AND MEMBER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRESIDENT, MANAGER, AND MEMBER direct 2007-04-01
SPEARS ABACUS ADVISORS LLC PRESIDENT AND MANAGER direct 2007-04-01
MACLENNAN, MARGARET, MARY PRINCIPAL AND CHIEF FINANCIAL OFFICER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WG SPEARS LLC CHIEF FINANCIAL OFFICER direct 2007-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND CHIEF FINANCIAL OFFICER direct 2007-01-01
WEIL, FRANK, ALAN MANAGER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
SPEARS ABACUS ADVISORS LLC MANAGER direct 2007-01-01
BREECE, JAMES, ERNEST PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 01/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC RESEARCH ANALYST direct 2010-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2010-01-01
SPEARS ABACUS ADVISORS LLC RESEARCH ANALYST AND MEMBER direct 2010-01-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2010-01-01
PFEIFFER, PAUL, FRANK PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
EAGLE GROWTH INVESTORS LLC EXECUTIVE VICE PRESIDENT direct 1998-07-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2009-07-01
MUNN BERNHARD & ASSOCIATES INC MANAGING DIRECTOR direct 2002-12-01 2004-02-17
SPEARS ABACUS ADVISORS LLC EQUITY ANALYST direct 2010-01-01 2010-12-14
SPEARS ABACUS ADVISORS LLC EQUITY ANALYST AND MEMBER direct 2010-01-01 2011-03-25
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2010-01-01 2015-02-11
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2009-07-01 2016-03-14
RAGGIO, JOHN PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 05/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2008-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2008-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2011-04-01
MORGENTHAU, ROBERT, PATTRIDGE PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER 10/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARGUS ASSETS, LLC MEMBER & PRESIDENT direct 2002-05-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL direct 2011-07-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND MEMBER direct 2011-10-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL direct 2011-10-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL, PORTFOLIO MANAGER, MANAGER, AND MEMBER direct 2011-10-01
CLEARY, MICHELE, DAYLE PRINCIPAL AND DIRECTOR OF OPERATIONS AND ADMINISTRATION 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC DIRECTOR OF OPERATIONS AND ADMINISTRATION direct 2013-04-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND DIRECTOR OF OPERATIONS AND ADMINISTRATION direct 2013-04-01
MARDEN, WILLIAM, WALKER PRINCIPAL AND PORTFOLIO MANAGER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC PORTFOLIO MANAGER direct 2014-09-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND PORTFOLIO MANAGER--FIXED INCOME direct 2014-09-01
SPEARS ABACUS ADVISORS LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2014-09-01
SPEARS, WILLIAM, GERLI MANAGER & MEMBER SPEARS & CO. LLC 11/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER & MEMBER indirect 2006-11-01
SPEARS ABACUS ADVISORS LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PORTFOLIO MANAGER, AND MANAGER direct 2007-01-01
KEY ASSET MANAGEMENT INC DIRECTOR, CHAIRMAN & SENIOR MANAGING DIRECTOR direct 1999-06-01 2001-09-14
SPEARS GRISANTI & BROWN LLC DIRECTOR AND PRINCIPAL direct 1999-06-01 2005-09-12
SPEARS GRISANTI & BROWN LLC MANAGER AND PRINCIPAL direct 1999-06-01 2006-10-31
WG SPEARS LLC PRESIDENT direct 2006-11-01 2006-12-01
SPEARS ABACUS ADVISORS LLC CHIEF EXECUTIVE OFFICER AND MANAGER direct 2007-01-01 2016-03-14
WEIL, FRANK, ALAN MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 12/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
SPEARS ABACUS ADVISORS LLC MANAGER direct 2007-01-01
WEIL, WILLIAM, SYLVAN MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 12/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2006-12-01
LASSALLE, HONOR, (NMN) MANAGER ABACUS AND ASSOCIATES HOLDINGS, LLC 03/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
SPEARS ABACUS ADVISORS LLC MANAGER indirect 2009-03-01

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