STRATEGIC WEALTH MANAGEMENT GROUP, LLC

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Strategic Wealth Management Group is based out of Fulton. Strategic Wealth Management Group is a large advisory firm with 1208 clients and discretionary assets under management (AUM) of $1,390,706,712 (Form ADV from 2021-01-19). Their last reported 13F filing for Q1 2021 included $261,593,000 in managed 13F securities and a top 10 holdings concentration of 64.99%. Strategic Wealth Management Group's largest holding is Schwab US Dividend Equity ETF with shares held of 832,275. Whalewisdom has at least 10 13F filings

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03/31/2021

13F Activity

  • Market Value $261.593 Million
  • Prior Market Value $231.149 Million
  • New Purchases12 stocks
  • Additional Purchases50 stocks
  • Sold out of6 stocks
  • Reduced holdings in49 stocks
  • Top 10 Holdings % 64.99 %
  • Turnover % [1]:13.53%
  • Turnover Alt % [2]: 1.41 %
  • Time Held Top20:5.90 quarters
  • Time Held Top10:7.00 quarters
  • Time Held All:5.50 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.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-02-16

Performance for Q4 2020: 10.18%
Performance Last 4 Quarters: 18.17%
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

WEALTHSPIRE ADVISORS
8170 MAPLE LAWN BLVD. SUITE 100
FULTON MD    20759
Country: United States

Business Phone: 410-988-9494
Fax: 443-535-0313
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MD
Number of employees: 22
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities: 255,381,000
Total Number of Clients: 1208
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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STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2020-11-18
Name Title Start Date Direct/Indirect % Ownership
DECARLO, JAMES, EDWIN CHIEF STRATEGIC GROWTH OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
POWERS, BRIAN, DAVID CHIEF FINANCIAL OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRONFMAN E.L. ROTHSCHILD, L.P. MANAGING DIRECTOR direct 2006-03-01
BAKER TILLY INVESTMENT ADVISORS CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER AND EXECUTIVE VICE PRESIDENT direct 2006-03-01
NORTHWESTERN MUTUAL TRUST COMPANY DIRECTOR OF OPERATIONS direct 2000-08-01 2001-02-21
NORTHWESTERN MUTUAL TRUST COMPANY DIRECTOR OF TRUST OPERATIONS direct 2000-08-01 2002-08-09
NORTHWESTERN MUTUAL TRUST COMPANY VICE PRESIDENT OF OPERATIONS/ADMINISTRATION direct 2002-12-01 2005-03-30
BAKER TILLY INVESTMENT ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-03-01 2012-12-18
BRONFMAN E.L. ROTHSCHILD, L.P. CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER AND EXECUTIVE VICE PRESIDENT direct 2006-03-01 2015-06-17
BRONFMAN E.L. ROTHSCHILD, L.P. CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR direct 2006-03-01 2016-06-09
STASTNEY, HOYT, RONALD CHIEF LEGAL OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRONFMAN E.L. ROTHSCHILD, L.P. CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2016-11-01
LAMENA, MICHAEL, ANTHONY CHIEF EXECUTIVE OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF OPERATING OFFICER direct 2011-09-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF OPERATING OFFICER direct 2013-04-01
BRONFMAN E.L. ROTHSCHILD, L.P. CHIEF OPERATING OFFICER direct 2017-09-01
SONTAG, ERIC, MATTHEW PRESIDENT & CHIEF OPERATIONS OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF OPERATIONS OFFICER direct 2011-11-01
SONTAG, HOWARD, VAUGHN CHAIRMAN & SR. MANAGING DIRECTOR 11/01/2020 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
DEL PRIORE, MICHAEL, J CHIEF COMPLIANCE OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SONTAG ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2020-01-01
WEALTHSPIRE ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2020-01-01
WEALTHSPIRE ADVISORS OWNER 11/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
BRONFMAN E.L. ROTHSCHILD, L.P. OWNER direct 2019-05-01
NFP CORP. SHAREHOLDER WEALTHSPIRE ADVISORS 08/01/2005 Indirect 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
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 HOLDINGS, LLC 02/01/2017 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
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
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

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
GRIESSER, JAMES, MARK MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) 02/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC VICE PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) direct 2001-02-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2001-02-01 2016-08-09
EICHELBERGER, JAMES, KURZ MEMBER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2005-01-01
DESJARDINS, GARY, PAUL MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2007-01-01
LACROIX, JENNINE, RAMSEY MEMBER 06/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2008-06-01
GARRISON, JOSEPH, PATRICK MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
MAGAHA, KIMBERLY, SARAH MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
ACHTERHOF, PATRICIA, BROWN MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
CAMPBELL, AMANDA, NICOLE MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
DECARLO, JAMES, EDWIN MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

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

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2019-11-20
Name Title Start Date Direct/Indirect % Ownership
GRIESSER, JAMES, MARK MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) 02/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC VICE PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) direct 2001-02-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2001-02-01 2016-08-09
EICHELBERGER, JAMES, KURZ MEMBER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2005-01-01
DESJARDINS, GARY, PAUL MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2007-01-01
LACROIX, JENNINE, RAMSEY MEMBER 06/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2008-06-01
GARRISON, JOSEPH, PATRICK MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
MAGAHA, KIMBERLY, SARAH MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
ACHTERHOF, PATRICIA, BROWN MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
CAMPBELL, AMANDA, NICOLE MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
DECARLO, JAMES, EDWIN MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2019-08-27
Name Title Start Date Direct/Indirect % Ownership
GRIESSER, JAMES, MARK MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) 02/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC VICE PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) direct 2001-02-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2001-02-01 2016-08-09
EICHELBERGER, JAMES, KURZ MEMBER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2005-01-01
DESJARDINS, GARY, PAUL MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2007-01-01
LACROIX, JENNINE, RAMSEY MEMBER 06/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2008-06-01
GARRISON, JOSEPH, PATRICK MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
MAGAHA, KIMBERLY, SARAH MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
ACHTERHOF, PATRICIA, BROWN MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
CAMPBELL, AMANDA, NICOLE MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
DECARLO, JAMES, EDWIN MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2019-03-08
Name Title Start Date Direct/Indirect % Ownership
GRIESSER, JAMES, MARK MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) 02/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC VICE PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) direct 2001-02-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2001-02-01 2016-08-09
EICHELBERGER, JAMES, KURZ MEMBER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2005-01-01
DESJARDINS, GARY, PAUL MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2007-01-01
LACROIX, JENNINE, RAMSEY MEMBER 06/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2008-06-01
GARRISON, JOSEPH, PATRICK MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
MAGAHA, KIMBERLY, SARAH MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
ACHTERHOF, PATRICIA, BROWN MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
CAMPBELL, AMANDA, NICOLE MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
DECARLO, JAMES, EDWIN MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2018-12-27
Name Title Start Date Direct/Indirect % Ownership
GRIESSER, JAMES, MARK MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) 02/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC VICE PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) direct 2001-02-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2001-02-01 2016-08-09
EICHELBERGER, JAMES, KURZ MEMBER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2005-01-01
DESJARDINS, GARY, PAUL MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2007-01-01
LACROIX, JENNINE, RAMSEY MEMBER 06/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2008-06-01
GARRISON, JOSEPH, PATRICK MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
MAGAHA, KIMBERLY, SARAH MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
ACHTERHOF, PATRICIA, BROWN MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
CAMPBELL, AMANDA, NICOLE MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
DECARLO, JAMES, EDWIN MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01

STRATEGIC WEALTH MANAGEMENT GROUP, LLC

ownership team - last updated 2018-05-23
Name Title Start Date Direct/Indirect % Ownership
GRIESSER, JAMES, MARK MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) 02/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC VICE PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER, CHIEF COMPLIANCE OFFICER (JANUARY 2017) direct 2001-02-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2001-02-01 2016-08-09
EICHELBERGER, JAMES, KURZ MEMBER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EICHELBERGER GRIESSER EDDY & ALMS INC PRESIDENT direct 1992-01-01
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2005-01-01
DESJARDINS, GARY, PAUL MEMBER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2007-01-01
LACROIX, JENNINE, RAMSEY MEMBER 06/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2008-06-01
GARRISON, JOSEPH, PATRICK MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
MAGAHA, KIMBERLY, SARAH MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
ACHTERHOF, PATRICIA, BROWN MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
CAMPBELL, AMANDA, NICOLE MEMBER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01
DECARLO, JAMES, EDWIN MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
STRATEGIC WEALTH MANAGEMENT GROUP, LLC MEMBER direct 2018-01-01

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