SPOUTING ROCK ASSET MANAGEMENT, LLC

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Spouting Rock Asset Management is based out of Bryn Mawr. Spouting Rock Asset Management is a hedge fund with 16 clients and discretionary assets under management (AUM) of $690,788,893 (Form ADV from 2020-08-28). Their last reported 13F filing for Q3 2020 included $209,128,000 in managed 13F securities and a top 10 holdings concentration of 35.02%. Spouting Rock Asset Management's largest holding is Amazon.com Inc. with shares held of 5,038. Whalewisdom has at least 4 13F filings

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09/30/2020

13F Activity

  • Market Value $209.128 Million
  • Prior Market Value $210.34 Million
  • New Purchases35 stocks
  • Additional Purchases35 stocks
  • Sold out of35 stocks
  • Reduced holdings in40 stocks
  • Top 10 Holdings % 35.02 %
  • Turnover % [1]:52.24%
  • Turnover Alt % [2]: 22.20 %
  • Time Held Top20:1.80 quarters
  • Time Held Top10:2.50 quarters
  • Time Held All:1.79 quarters

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

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

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16

Performance for Q3 2020: 5.24%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SPOUTING ROCK ASSET MANAGEMENT, LLC
925 W. LANCASTER AVE. SUITE 250
BRYN MAWR PA    19010
Country: United States

Business Phone: 610-788-2128
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
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,Performance-based fees,SHARE IN THIRD PARTY ADVISORY FEES
Amount of client funds and securities:
Total Number of Clients: 16
Amount of client funds and securities by related persons: 680,932,000
Total Number of clients from related persons: 4
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2020-08-28
Name Title Start Date Direct/Indirect % Ownership
SPOUTING ROCK FINANCIAL PARTNERS, LLC OWNER 01/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC OWNER direct 2008-01-01
SPOUTING ROCK FUND MANAGEMENT DIRECT OWNER direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MANAGING MEMBER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01
Hullings, Michael, Alfred CHIEF LEGAL OFFICER 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-02-01
SMITH, ANDREW, ALASDAIR CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTIO GLOBAL MANAGEMENT LLC VICE PRESIDENT, TREASURER AND CHIEF EXECUTIVE OFFICER direct 2013-05-01
ARTIO GLOBAL MANAGEMENT LLC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2013-05-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ARDEN ASSET MANAGEMENT LLC PRESIDENT direct 2015-12-01
ABERDEEN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2015-09-01
COYNE, JOHN, EDWARD CHAIRMAN 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRINKER CAPITAL INC EXECUTIVE VICE CHAIRMAN direct 2012-07-01
BRINKER CAPITAL INC SENIOR VICE PRESIDENT direct 1995-12-01 2004-03-19
BRINKER CAPITAL INC PRESIDENT direct 2003-12-01 2005-03-31
BRINKER CAPITAL INC PRESIDENT/CHIEF OPERATING OFFICER direct 2006-01-01 2006-01-06
BRINKER CAPITAL INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2006-01-01 2010-02-22
BRINKER CAPITAL INC PRESIDENT direct 2006-01-01 2012-06-12
DESCOTEAUX, DIANNE CHIEF COMPLIANCE OFFICER 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
QTRON INVESTMENTS LLC CHIEF COMPLIANCE OFFICER direct 2020-06-01
55I, LLC CHIEF COMPLIANCE OFFICER direct 2020-06-01
PAGE, BLAKELY, CHAPMAN MEMBER SPOUTING ROCK FINANCIAL PARTNERS, LLC 10/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VICTOR EQUITY FUND, LTD. Cayman Islands 805-3873841459 Hedge Fund 187,975,204 1,000,000
SPOUTING ROCK I, L.P. United States 805-2096558688 Hedge Fund 5,452,961 1,000,000 Fund of Funds
HIGHWOOD CAPITAL PARTNERS LP United States 805-4625603202 Hedge Fund 7,936,269 1,000,000 Fund of Funds
VICTOR EQUITY FUND, LP United States 805-3395328826 Hedge Fund 478,733,637 1,000,000

SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
COYNE, JOHN, EDWARD CHAIRMAN 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRINKER CAPITAL INC EXECUTIVE VICE CHAIRMAN direct 2012-07-01
BRINKER CAPITAL INC SENIOR VICE PRESIDENT direct 1995-12-01 2004-03-19
BRINKER CAPITAL INC PRESIDENT direct 2003-12-01 2005-03-31
BRINKER CAPITAL INC PRESIDENT/CHIEF OPERATING OFFICER direct 2006-01-01 2006-01-06
BRINKER CAPITAL INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2006-01-01 2010-02-22
BRINKER CAPITAL INC PRESIDENT direct 2006-01-01 2012-06-12
SPOUTING ROCK FINANCIAL PARTNERS, LLC OWNER 01/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC OWNER direct 2008-01-01
SPOUTING ROCK FUND MANAGEMENT DIRECT OWNER direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MANAGING MEMBER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01
Hullings, Michael, Alfred CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-02-01
SMITH, ANDREW, ALASDAIR CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTIO GLOBAL MANAGEMENT LLC VICE PRESIDENT, TREASURER AND CHIEF EXECUTIVE OFFICER direct 2013-05-01
ARTIO GLOBAL MANAGEMENT LLC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2013-05-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ARDEN ASSET MANAGEMENT LLC PRESIDENT direct 2015-12-01
ABERDEEN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2015-09-01
PAGE, BLAKELY, CHAPMAN MEMBER SPOUTING ROCK FINANCIAL PARTNERS, LLC 10/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VICTOR EQUITY FUND, LTD. Cayman Islands 805-3873841459 Hedge Fund 187,975,204 1,000,000
SPOUTING ROCK I, L.P. United States 805-2096558688 Hedge Fund 5,452,961 1,000,000 Fund of Funds
HIGHWOOD CAPITAL PARTNERS LP United States 805-4625603202 Hedge Fund 7,936,269 1,000,000 Fund of Funds
VICTOR EQUITY FUND, LP United States 805-3395328826 Hedge Fund 478,733,637 1,000,000

SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VICTOR EQUITY FUND, LTD. Cayman Islands 805-3873841459 Hedge Fund 187,975,204 1,000,000
SPOUTING ROCK I, L.P. United States 805-2096558688 Hedge Fund 5,452,961 1,000,000 Fund of Funds
HIGHWOOD CAPITAL PARTNERS LP United States 805-4625603202 Hedge Fund 7,936,269 1,000,000 Fund of Funds
VICTOR EQUITY FUND, LP United States 805-3395328826 Hedge Fund 478,733,637 1,000,000

SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2019-04-02
Name Title Start Date Direct/Indirect % Ownership
SPOUTING ROCK FINANCIAL PARTNERS, LLC OWNER 01/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC OWNER direct 2008-01-01
SPOUTING ROCK FUND MANAGEMENT DIRECT OWNER direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MANAGING MEMBER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01
Hullings, Michael, Alfred CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-02-01
SMITH, ANDREW, ALASDAIR CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTIO GLOBAL MANAGEMENT LLC VICE PRESIDENT, TREASURER AND CHIEF EXECUTIVE OFFICER direct 2013-05-01
ARTIO GLOBAL MANAGEMENT LLC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2013-05-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ARDEN ASSET MANAGEMENT LLC PRESIDENT direct 2015-12-01
ABERDEEN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2015-09-01
COYNE, JOHN, EDWARD CHAIRMAN 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRINKER CAPITAL INC EXECUTIVE VICE CHAIRMAN direct 2012-07-01
BRINKER CAPITAL INC SENIOR VICE PRESIDENT direct 1995-12-01 2004-03-19
BRINKER CAPITAL INC PRESIDENT direct 2003-12-01 2005-03-31
BRINKER CAPITAL INC PRESIDENT/CHIEF OPERATING OFFICER direct 2006-01-01 2006-01-06
BRINKER CAPITAL INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2006-01-01 2010-02-22
BRINKER CAPITAL INC PRESIDENT direct 2006-01-01 2012-06-12
PAGE, BLAKELY, CHAPMAN MEMBER SPOUTING ROCK FINANCIAL PARTNERS, LLC 10/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VICTOR EQUITY FUND, LTD. Cayman Islands 805-3873841459 Hedge Fund 140,262,897 1,000,000
SPOUTING ROCK I, L.P. United States 805-2096558688 Hedge Fund 2,630,000 1,000,000 Fund of Funds
HIGHWOOD CAPITAL PARTNERS LP United States 805-4625603202 Hedge Fund 8,923,283 1,000,000 Fund of Funds
VICTOR EQUITY FUND, LP United States 805-3395328826 Hedge Fund 361,606,788 1,000,000

SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
SPOUTING ROCK FINANCIAL PARTNERS, LLC OWNER 01/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC OWNER direct 2008-01-01
SPOUTING ROCK FUND MANAGEMENT DIRECT OWNER direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MANAGING MEMBER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01
Hullings, Michael, Alfred CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-02-01
SMITH, ANDREW, ALASDAIR CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTIO GLOBAL MANAGEMENT LLC VICE PRESIDENT, TREASURER AND CHIEF EXECUTIVE OFFICER direct 2013-05-01
ARTIO GLOBAL MANAGEMENT LLC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2013-05-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ARDEN ASSET MANAGEMENT LLC PRESIDENT direct 2015-12-01
ABERDEEN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2015-09-01
COYNE, JOHN, EDWARD CHAIRMAN 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRINKER CAPITAL INC EXECUTIVE VICE CHAIRMAN direct 2012-07-01
BRINKER CAPITAL INC SENIOR VICE PRESIDENT direct 1995-12-01 2004-03-19
BRINKER CAPITAL INC PRESIDENT direct 2003-12-01 2005-03-31
BRINKER CAPITAL INC PRESIDENT/CHIEF OPERATING OFFICER direct 2006-01-01 2006-01-06
BRINKER CAPITAL INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2006-01-01 2010-02-22
BRINKER CAPITAL INC PRESIDENT direct 2006-01-01 2012-06-12
PAGE, BLAKELY, CHAPMAN MEMBER SPOUTING ROCK FINANCIAL PARTNERS, LLC 10/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VICTOR EQUITY FUND, LTD. Cayman Islands 805-3873841459 Hedge Fund 140,262,897 1,000,000
SPOUTING ROCK I, L.P. United States 805-2096558688 Hedge Fund 2,630,000 1,000,000 Fund of Funds
HIGHWOOD CAPITAL PARTNERS LP United States 805-4625603202 Hedge Fund 8,923,283 1,000,000 Fund of Funds
VICTOR EQUITY FUND, LP United States 805-3395328826 Hedge Fund 361,606,788 1,000,000

SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2018-12-11
Name Title Start Date Direct/Indirect % Ownership
SPOUTING ROCK FINANCIAL PARTNERS, LLC OWNER 01/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC OWNER direct 2008-01-01
SPOUTING ROCK FUND MANAGEMENT DIRECT OWNER direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MANAGING MEMBER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01
Hullings, Michael, Alfred CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-02-01
SMITH, ANDREW, ALASDAIR CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTIO GLOBAL MANAGEMENT LLC VICE PRESIDENT, TREASURER AND CHIEF EXECUTIVE OFFICER direct 2013-05-01
ARTIO GLOBAL MANAGEMENT LLC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2013-05-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER - AMERICAS, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, CHIEF EXECUTIVE OFFICER, CO-HEAD OF AMERICAS AND CHIEF OPERATING OFFICER direct 2005-01-01
ABERDEEN ASSET MANAGEMENT INC DIRECTOR, TREASURER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2005-01-01
ARDEN ASSET MANAGEMENT LLC PRESIDENT direct 2015-12-01
ABERDEEN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2015-09-01
COYNE, JOHN, EDWARD CHAIRMAN 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRINKER CAPITAL INC EXECUTIVE VICE CHAIRMAN direct 2012-07-01
BRINKER CAPITAL INC SENIOR VICE PRESIDENT direct 1995-12-01 2004-03-19
BRINKER CAPITAL INC PRESIDENT direct 2003-12-01 2005-03-31
BRINKER CAPITAL INC PRESIDENT/CHIEF OPERATING OFFICER direct 2006-01-01 2006-01-06
BRINKER CAPITAL INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2006-01-01 2010-02-22
BRINKER CAPITAL INC PRESIDENT direct 2006-01-01 2012-06-12
PAGE, BLAKELY, CHAPMAN MEMBER SPOUTING ROCK FINANCIAL PARTNERS, LLC 10/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BROAD REACH FINANCIAL PARTNERS, LP United States 805-7697153664 Hedge Fund 1,847,906 250,000 Feeder Fund
HIGHWOOD CAPITAL PARTNERS LP United States 805-4625603202 Hedge Fund 9,153,427 1,000,000 Fund of Funds

SPOUTING ROCK ASSET MANAGEMENT, LLC

ownership team - last updated 2017-03-10
Name Title Start Date Direct/Indirect % Ownership
SPOUTING ROCK FINANCIAL PARTNERS, LLC OWNER 01/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC OWNER direct 2008-01-01
SPOUTING ROCK FUND MANAGEMENT DIRECT OWNER direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01
PAGE, BLAKELY, CHAPMAN MEMBER SPOUTING ROCK FINANCIAL PARTNERS, LLC 10/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MEMBER indirect 2006-10-01
SPOUTING ROCK WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-01-01
SPOUTING ROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2016-02-01
SPOUTING ROCK ASSET MANAGEMENT, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-04-01
SPOUTING ROCK FUND MANAGEMENT MANAGING MEMBER indirect 2013-06-01
SPOUTING ROCK FUND MANAGEMENT PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
SPOUTING ROCK FUND MANAGEMENT TRUSTEE direct 2014-06-01

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