TORTOISE CAPITAL ADVISORS, L.L.C.

HTTP://WWW.TORTOISEADVISORS.COM LEAWOOD, KS Investment Advisor Hedge Fund How do I update this listing?

Also known as:

  • TORTOISE MLP FUND INC
  • TORTOISE MLP CORP
  • TORTOISE POWER & ENERGY INCOME CO
  • TORTOISE ESSENTIAL ASSETS INCOME 2024 TERM FUND INC
  • TORTOISE TAX-ADVANTAGED ESSENTIAL ASSETS INTERVAL FUND INC

Tortoise Capital Advisors is based out of Leawood. Tortoise Capital Advisors is a large advisory firm with 933 clients and discretionary assets under management (AUM) of $14,544,545,399 (Form ADV from 2019-03-29). Their last reported 13F filing for Q2 2019 included $15,267,985,000 in managed 13F securities and a top 10 holdings concentration of 61.23%. Tortoise Capital Advisors's largest holding is Energy Transfer Equity LP with shares held of 92,262,055. Tortoise Capital Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 68 13F filings, 2 13D filings, 278 13G filings, and 2 Form 4 filings

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Equal-WT
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68

S&P 500
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Manager Weighted
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Download 13F Summary to Excel Create Email Alert

06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $15.268 Billion
  • Prior Market Value $16.182 Billion
  • New Purchases3 stocks
  • Additional Purchases62 stocks
  • Sold out of6 stocks
  • Reduced holdings in33 stocks
  • Top 10 Holdings % 61.23 %
  • Turnover % [1]:5.14%
  • Turnover Alt % [2]: 6.56 %
  • Time Held Top20:19.15 quarters
  • Time Held Top10:19.80 quarters
  • Time Held All:16.64 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 2019-08-14

Performance for Q2 2019: -11.32%
Performance Last 4 Quarters: -12.19%
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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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR/A (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR/A (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR/A (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR/A (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR/A (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

TORTOISE CAPITAL ADVISORS, L.L.C.
Classified as Hedge Fund
11550 ASH STREET, SUITE 300
LEAWOOD KS    66211-7811
Country: United States

Business Phone: (913) 981-1020
Fax: (913) 981-1021
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: 95
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,% ASSETS UNDER ADVISEMENT
Amount of client funds and securities: 108,383,000
Total Number of Clients: 933
Amount of client funds and securities by related persons: 507,831,000
Total Number of clients from related persons: 3
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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TORTOISE CAPITAL ADVISORS, L.L.C.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BIRZER, HAROLD, KEVIN DIRECTOR 10/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2002-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR; CEO indirect 2009-09-01
VARIANT, LLC DIRECTOR; CEO indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-06-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 1997-04-01 2007-09-18
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 1997-05-01 2008-07-15
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 1997-04-01 2009-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
TORTOISE FI, LLC DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2015-07-01 2015-07-17
BONO, DIANE, MARIE CHIEF COMPLIANCE OFFICER 06/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2006-06-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR; CHIEF COMPLIANCE OFFICER direct 2016-08-01
VARIANT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
SAVAGE, CONNIE CHIEF OPERATING OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF OPERATING OFFICER direct 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-08-01
VARIANT, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-09-01
KELLY, MICHELLE, ROSS DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-02-01
TORTOISE INDEX SOLUTIONS, LLC MANAGER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
TSEC INVESTMENTS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
HENSON, GARY, PAUL DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FB CAPITAL MANAGEMENT OF KANSAS INC VICE PRESIDENT/PORTFOLIO MANAGER direct 1996-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MONTAGE INVESTMENTS, LLC PRESIDENT/CHIEF INVESTMENT OFFICER direct 2010-01-01
TACTICAL INVESTMENT MANAGERS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01
THE NATIONS GROUP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2010-08-01
TORRAYRESOLUTE, LLC MANAGING DIRECTOR direct 2014-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
MARINER VALUE STRATEGIES, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2008-10-09
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2009-12-01 2011-07-22
MONTAGE INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01 2011-09-15
MARINER WEALTH ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2007-09-01 2011-09-20
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2014-03-28
440 INVESTMENT GROUP, LLC PRESIDENT direct 2008-09-01 2015-01-30
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
SALLEE, MATTHEW, GREGORY PRESTON DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2018-01-01
TORTOISE BORROWER LLC MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER direct 2018-01-01
NEWCOMB, BRENT, JON DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ECOFIN LIMITED DIRECTOR direct 2019-01-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2019-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2019-03-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2019-03-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2019-03-01
BIRZER, HAROLD, KEVIN CHIEF EXECUTIVE OFFICER TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2002-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR; CEO indirect 2009-09-01
VARIANT, LLC DIRECTOR; CEO indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-06-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 1997-04-01 2007-09-18
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 1997-05-01 2008-07-15
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 1997-04-01 2009-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
TORTOISE FI, LLC DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2015-07-01 2015-07-17
HENSON, GARY, PAUL PRESIDENT TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
FB CAPITAL MANAGEMENT OF KANSAS INC VICE PRESIDENT/PORTFOLIO MANAGER direct 1996-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MONTAGE INVESTMENTS, LLC PRESIDENT/CHIEF INVESTMENT OFFICER direct 2010-01-01
TACTICAL INVESTMENT MANAGERS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01
THE NATIONS GROUP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2010-08-01
TORRAYRESOLUTE, LLC MANAGING DIRECTOR direct 2014-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
MARINER VALUE STRATEGIES, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2008-10-09
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2009-12-01 2011-07-22
MONTAGE INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01 2011-09-15
MARINER WEALTH ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2007-09-01 2011-09-20
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2014-03-28
440 INVESTMENT GROUP, LLC PRESIDENT direct 2008-09-01 2015-01-30
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
KELLY, MICHELLE, ROSS CHIEF STRATEGY OFFICER TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-02-01
TORTOISE INDEX SOLUTIONS, LLC MANAGER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
TSEC INVESTMENTS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
SAVAGE, CONNIE, JEAN CHIEF OPERATING OFFICER TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF OPERATING OFFICER direct 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-08-01
VARIANT, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE PARENT HOLDCO LLC SOLE MEMBER TORTOISE BORROWER LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC SOLE MEMBER indirect 2018-01-01
TORTOISE INVESTMENTS, LLC SOLE MEMBER TORTOISE PARENT HOLDCO LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC MEMBER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC MEMBER direct 2016-08-01
VARIANT, LLC MEMBER indirect 2016-03-01
VARIANT, LLC MEMBER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC MEMBER direct 2016-09-01
LM TORTOISE HOLDINGS LLC MEMBER TORTOISE INVESTMENTS, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LM TORTOISE INVESTMENT HOLDINGS IV CO-INVESTMENT LLC MEMBER LM TORTOISE HOLDINGS LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LM TORTOISE HOLDINGS CO-INVESTMENT LLC MEMBER LM TORTOISE HOLDINGS LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
HCF4 HOLDINGS LLC MEMBER LM TORTOISE HOLDINGS CO-INVESTMENT LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LM TORTOISE INVESTMENT HOLDINGS IV LLC MANAGING MEMBER LM TORTOISE INVESTMENT HOLDINGS IV CO-INVESTMENT LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MANAGING MEMBER indirect 2018-01-01
LOVELL MINNICK EQUITY PARTNERS IV LP MEMBER LM TORTOISE INVESTMENT HOLDINGS IV LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
LM TORTOISE INVESTMENT HOLDINGS IV-A INC. MEMBER LM TORTOISE INVESTMENT HOLDINGS IV LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LOVELL MINNICK EQUITY PARTNERS IV-A LP OWNER LM TORTOISE INVESTMENT HOLDINGS IV-A INC. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
LOVELL MINNICK EQUITY ADVISORS IV LP GENERAL PARTNER LOVELL MINNICK EQUITY PARTNERS IV LP 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
LOVELL MINNICK EQUITY ADVISORS IV LP GENERAL PARTNER LOVELL MINNICK EQUITY PARTNERS IV-A LP 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TORTOISE COMMINGLED MLP FUND, LLC United States 805-2791983910 Other Private Fund COMMINGLED LLC 323,534,295 150,000
TORTOISE DIRECT OPPORTUNITIES FUND, LP United States 805-1080049994 Hedge Fund 110,082,798 1,000,000
US ENERGY I, LLC United States 805-6605219583 Other Private Fund LONG-ONLY STRATEGY WITH ASSET-BASED FEE 108,383,274 50,000,000
TORTOISE DIRECT OPPORTUNITIES FUND II, LP United States 805-3068298446 Hedge Fund 74,214,361 1,000,000

TORTOISE CAPITAL ADVISORS, L.L.C.

ownership team - last updated 2018-10-25
Name Title Start Date Direct/Indirect % Ownership
BIRZER, HAROLD, KEVIN DIRECTOR 10/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2002-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR; CEO indirect 2009-09-01
VARIANT, LLC DIRECTOR; CEO indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-06-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 1997-04-01 2007-09-18
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 1997-05-01 2008-07-15
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 1997-04-01 2009-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
TORTOISE FI, LLC DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2015-07-01 2015-07-17
BONO, DIANE, MARIE CHIEF COMPLIANCE OFFICER 06/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2006-06-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR; CHIEF COMPLIANCE OFFICER direct 2016-08-01
VARIANT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
SAVAGE, CONNIE CHIEF OPERATING OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF OPERATING OFFICER direct 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-08-01
VARIANT, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-09-01
KELLY, MICHELLE, ROSS DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-02-01
TORTOISE INDEX SOLUTIONS, LLC MANAGER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
TSEC INVESTMENTS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
HENSON, GARY, PAUL DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FB CAPITAL MANAGEMENT OF KANSAS INC VICE PRESIDENT/PORTFOLIO MANAGER direct 1996-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MONTAGE INVESTMENTS, LLC PRESIDENT/CHIEF INVESTMENT OFFICER direct 2010-01-01
TACTICAL INVESTMENT MANAGERS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01
THE NATIONS GROUP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2010-08-01
TORRAYRESOLUTE, LLC MANAGING DIRECTOR direct 2014-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
MARINER VALUE STRATEGIES, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2008-10-09
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2009-12-01 2011-07-22
MONTAGE INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01 2011-09-15
MARINER WEALTH ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2007-09-01 2011-09-20
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2014-03-28
440 INVESTMENT GROUP, LLC PRESIDENT direct 2008-09-01 2015-01-30
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
SALLEE, MATTHEW, GREGORY PRESTON DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2018-01-01
TORTOISE BORROWER LLC MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER direct 2018-01-01
BIRZER, HAROLD, KEVIN CHIEF EXECUTIVE OFFICER TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2002-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR; CEO indirect 2009-09-01
VARIANT, LLC DIRECTOR; CEO indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-06-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 1997-04-01 2007-09-18
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 1997-05-01 2008-07-15
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 1997-04-01 2009-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
TORTOISE FI, LLC DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2015-07-01 2015-07-17
HENSON, GARY, PAUL PRESIDENT TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
FB CAPITAL MANAGEMENT OF KANSAS INC VICE PRESIDENT/PORTFOLIO MANAGER direct 1996-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MONTAGE INVESTMENTS, LLC PRESIDENT/CHIEF INVESTMENT OFFICER direct 2010-01-01
TACTICAL INVESTMENT MANAGERS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01
THE NATIONS GROUP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2010-08-01
TORRAYRESOLUTE, LLC MANAGING DIRECTOR direct 2014-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
MARINER VALUE STRATEGIES, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2008-10-09
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2009-12-01 2011-07-22
MONTAGE INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01 2011-09-15
MARINER WEALTH ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2007-09-01 2011-09-20
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2014-03-28
440 INVESTMENT GROUP, LLC PRESIDENT direct 2008-09-01 2015-01-30
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
KELLY, MICHELLE, ROSS CHIEF STRATEGY OFFICER TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-02-01
TORTOISE INDEX SOLUTIONS, LLC MANAGER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
TSEC INVESTMENTS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
SAVAGE, CONNIE, JEAN CHIEF OPERATING OFFICER TORTOISE BORROWER LLC 01/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF OPERATING OFFICER direct 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-08-01
VARIANT, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE PARENT HOLDCO LLC SOLE MEMBER TORTOISE BORROWER LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC SOLE MEMBER indirect 2018-01-01
TORTOISE INVESTMENTS, LLC SOLE MEMBER TORTOISE PARENT HOLDCO LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC MEMBER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC MEMBER direct 2016-08-01
VARIANT, LLC MEMBER indirect 2016-03-01
VARIANT, LLC MEMBER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC MEMBER direct 2016-09-01
LM TORTOISE HOLDINGS LLC MEMBER TORTOISE INVESTMENTS, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LM TORTOISE INVESTMENT HOLDINGS IV CO-INVESTMENT LLC MEMBER LM TORTOISE HOLDINGS LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LM TORTOISE HOLDINGS CO-INVESTMENT LLC MEMBER LM TORTOISE HOLDINGS LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
HCF4 HOLDINGS LLC MEMBER LM TORTOISE HOLDINGS CO-INVESTMENT LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LM TORTOISE INVESTMENT HOLDINGS IV LLC MANAGING MEMBER LM TORTOISE INVESTMENT HOLDINGS IV CO-INVESTMENT LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MANAGING MEMBER indirect 2018-01-01
LOVELL MINNICK EQUITY PARTNERS IV LP MEMBER LM TORTOISE INVESTMENT HOLDINGS IV LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
LM TORTOISE INVESTMENT HOLDINGS IV-A INC. MEMBER LM TORTOISE INVESTMENT HOLDINGS IV LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2018-01-01
LOVELL MINNICK EQUITY PARTNERS IV-A LP OWNER LM TORTOISE INVESTMENT HOLDINGS IV-A INC. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
LOVELL MINNICK EQUITY ADVISORS IV LP GENERAL PARTNER LOVELL MINNICK EQUITY PARTNERS IV LP 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
LOVELL MINNICK EQUITY ADVISORS IV LP GENERAL PARTNER LOVELL MINNICK EQUITY PARTNERS IV-A LP 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TORTOISE COMMINGLED MLP FUND, LLC United States 805-2791983910 Other Private Fund COMMINGLED LLC 290,273,480 150,000
TORTOISE DIRECT OPPORTUNITIES FUND, LP United States 805-1080049994 Hedge Fund 161,272,467 1,000,000
US ENERGY I, LLC United States 805-6605219583 Other Private Fund LONG-ONLY STRATEGY WITH ASSET-BASED FEE 118,346,812 50,000,000
TORTOISE DIRECT OPPORTUNITIES FUND II, LP United States 805-3068298446 Hedge Fund 60,549,950 1,000,000

TORTOISE CAPITAL ADVISORS, L.L.C.

ownership team - last updated 2017-06-16
Name Title Start Date Direct/Indirect % Ownership
MATLACK, TERRY, CLYDE DIRECTOR 10/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2001-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. ACTIVE indirect 2001-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER/CHIEF COMPLIANCE OFFICER direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2001-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-10-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2015-01-01
VARIANT, LLC DIRECTOR indirect 2015-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2015-01-01
BIRZER, HAROLD, KEVIN DIRECTOR; CHIEF EXECUTIVE OFFICER 10/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2002-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR; CEO indirect 2009-09-01
VARIANT, LLC DIRECTOR; CEO indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-06-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 1997-04-01 2007-09-18
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 1997-05-01 2008-07-15
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 1997-04-01 2009-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
TORTOISE FI, LLC DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2015-07-01 2015-07-17
HAMEL, ZACHARY, ALAN DIRECTOR 10/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2002-10-01
VARIANT, LLC DIRECTOR indirect 2015-01-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2015-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2002-01-01 2007-09-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 2002-01-01 2012-04-17
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 2002-01-01 2012-06-06
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE INDEX SOLUTIONS, LLC MANAGER direct 2015-02-01 2015-05-06
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01 2015-07-17
MALVEY, KENNETH, PETER DIRECTOR 10/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 2004-04-01
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 2004-04-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2004-03-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01
CONFLUENCE CAPITAL MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2015-01-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2015-01-01
VARIANT, LLC DIRECTOR indirect 2015-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2015-01-01
BONO, DIANE, MARIE CHIEF COMPLIANCE OFFICER 06/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2006-06-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR; CHIEF COMPLIANCE OFFICER direct 2016-08-01
VARIANT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
TORTOISE INVESTMENTS, LLC (FORMERLY TORTOISE HOLDINGS, LLC) MEMBER 09/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC MEMBER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC MEMBER direct 2016-08-01
VARIANT, LLC MEMBER indirect 2016-03-01
VARIANT, LLC MEMBER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC MEMBER direct 2016-09-01
SAVAGE, CONNIE CHIEF OPERATING OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. CHIEF OPERATING OFFICER direct 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2015-07-01
TORTOISE INVESTMENTS PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-08-01
VARIANT, LLC CHIEF OPERATING OFFICER direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC CHIEF OPERATING OFFICER direct 2016-09-01
BIRZER, HAROLD, KEVIN DIRECTOR TORTOISE INVESTMENTS, LLC 09/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2002-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR; CEO indirect 2009-09-01
VARIANT, LLC DIRECTOR; CEO indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-06-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
VARIANT, LLC DIRECTOR direct 2016-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR direct 2016-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 1997-04-01 2007-09-18
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 1997-05-01 2008-07-15
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 1997-04-01 2009-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
TORTOISE FI, LLC DIRECTOR; CHIEF EXECUTIVE OFFICER direct 2015-07-01 2015-07-17
MARINER HOLDINGS, LLC MANAGING MEMBER MONTAGE INVESTMENTS, LLC 01/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARINER WEALTH ADVISORS-OKLAHOMA, LLC MANAGING MEMBER indirect 2008-09-01
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2012-01-01
MARINER WEALTH ADVISORS-OMAHA, LLC MANAGING MEMBER indirect 2008-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGING MEMBER indirect 2010-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGING MEMBER indirect 2010-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGING MEMBER indirect 2010-01-01
MARINER WEALTH ADVISORS, LLC MANAGING MEMBER direct 2008-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-09-01
MARINER QUANTITATIVE SOLUTIONS, LLC MANAGING MEMBER indirect 2008-09-01
CONVERGENCE INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2010-01-01
CONVERGENCE INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2010-04-01
CONVERGENCE INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2010-04-01
NUANCE INVESTMENTS, LLC MEMBER indirect 2008-11-01
MARINER VALUE STRATEGIES, LLC MEMBER indirect 2008-11-01
NUANCE INVESTMENTS, LLC MANAGING MEMBER indirect 2010-01-01
NUANCE INVESTMENTS, LLC MEMBER indirect 2010-01-01
THE NATIONS GROUP ADVISORS, LLC MEMBER indirect 2008-11-01
THE NATIONS GROUP ADVISORS, LLC MANAGING MEMBER indirect 2008-11-01
THE NATIONS GROUP ADVISORS, LLC MANAGING MEMBER indirect 2008-11-01
THE NATIONS GROUP ADVISORS, LLC MANAGING MEMBER indirect 2008-11-01
ASCENT INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2009-12-01
ASCENT INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2009-12-01
ASCENT INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2009-12-01
ASCENT INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2010-01-01
MARINER ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2010-01-01
440 INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2010-01-01
440 INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2010-01-01
PALMER SQUARE CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-01-01
PALMER SQUARE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
TACTICAL ALLOCATION STRATEGIES, LLC MANAGING MEMBER indirect 2009-06-01
TACTICAL ALLOCATION STRATEGIES, LLC MANAGING MEMBER direct 2010-01-01
MARINER REAL ESTATE MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
MILLSTREET CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-01-01
RPCM, LLC MANAGING MEMBER indirect 2008-09-01
GIRALDA ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
GIRALDA ADVISORS, LLC MANAGING MEMBER indirect 2010-01-01
MARINER WEALTH ADVISORS-MADISON, LLC MANAGING MEMBER indirect 2008-09-01
FIRSTPOINT FINANCIAL, LLC MANAGING MEMBER indirect 2008-09-01
MARINER WEALTH ADVISORS-NYC, LLC MANAGING MEMBER indirect 2008-09-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC MANAGING MEMBER indirect 2008-09-01
MARINER-HFG, LLC MANAGING MEMBER indirect 2008-09-01
MARINER RETIREMENT ADVISORS, LLC MANAGING MEMBER direct 2014-09-01
TORRAYRESOLUTE, LLC MANAGING MEMBER indirect 2010-01-01
B+ INSTITUTIONAL SERVICES, LLC MANAGING MEMBER indirect 2010-01-01
MARINER INSTITUTIONAL CONSULTING, LLC MANAGING MEMBER direct 2014-10-01
VANTAGE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
FIRSTPOINT FINANCIAL, LLC MANAGING MEMBER indirect 2010-01-01
MREM-RC HOLDINGS, LLC MANAGING MEMBER indirect 2010-01-01
SMG HOSPITALITY MANAGEMENT LLC MANAGING MEMBER indirect 2010-01-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC MANAGING MEMBER indirect 2008-09-01
TORTOISE INDEX SOLUTIONS, LLC MANAGING MEMBER indirect 2010-01-01
MARINER WEALTH ADVISORS-CHICAGO, LLC MANAGING MEMBER indirect 2008-09-01
RB INVESTMENTS, LLC MANAGING MEMBER indirect 2010-04-01
TORTOISE CREDIT STRATEGIES, LLC MANAGING MEMBER indirect 2010-01-01
MARINER WEALTH ADVISORS-FORT WORTH, LLC MANAGING MEMBER indirect 2008-09-01
ALEGRIA ENERGY, LLC MANAGING MEMBER indirect 2010-01-01
TORTOISE INVESTMENTS PARTNERS, LLC MANAGING MEMBER indirect 2010-01-01
VARIANT, LLC MANAGING MEMBER indirect 2010-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC MANAGING MEMBER indirect 2010-01-01
MARINER WEALTH ADVISORS-SAN DIEGO, LLC MANAGING MEMBER indirect 2008-09-01
MARINER WEALTH ADVISORS-IC, LLC MANAGING MEMBER indirect 2008-09-01
BICKNELL, MARTIN, CHRISTOPHER DIRECTOR TORTOISE INVESTMENTS, LLC 09/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
MARINER WEALTH ADVISORS-OMAHA, LLC ELECTED MANAGER indirect 2008-04-01
ORIZON INVESTMENT COUNSEL LLC TRUSTEE indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. ELECTED MANAGER indirect 2007-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. TRUSTEE indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS, LLC CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER direct 2006-05-01
MARINER WEALTH ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2006-05-01
MARINER WEALTH ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS, LLC ELECTED MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
MARINER WEALTH ADVISORS, LLC TRUSTEE indirect 2009-06-01
SYCAMORE INVESTMENT GROUP, LLC CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER indirect 2006-05-01
CONFLUENCE INVESTMENT MANAGEMENT LLC TRUSTEE indirect 2009-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01
MARINER QUANTITATIVE SOLUTIONS, LLC MEMBER, CEO indirect 2006-12-01
MARINER QUANTITATIVE SOLUTIONS, LLC MEMBER, CEO, CHIEF INVESTMENT OFFICER indirect 2006-12-01
CONVERGENCE INVESTMENT PARTNERS, LLC ELECTED MANAGER indirect 2007-07-01
CONVERGENCE INVESTMENT PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
MARINER QUANTITATIVE SOLUTIONS, LLC CEO direct 2008-08-01
CONVERGENCE INVESTMENT PARTNERS, LLC TRUSTEE indirect 2009-06-01
MARINER VALUE STRATEGIES, LLC MEMBER indirect 2006-12-01
NUANCE INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
NUANCE INVESTMENTS, LLC CEO direct 2008-09-01
NUANCE INVESTMENTS, LLC TRUSTEE indirect 2009-06-01
THE NATIONS GROUP ADVISORS, LLC TRUSTEE indirect 2009-06-01
THE NATIONS GROUP ADVISORS, LLC CEO direct 2009-10-01
THE NATIONS GROUP ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-10-01
ASCENT INVESTMENT PARTNERS, LLC ELECTED MANAGER indirect 2007-07-01
ASCENT INVESTMENT PARTNERS, LLC TRUSTEE indirect 2009-06-01
ASCENT INVESTMENT PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
MONTAGE INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER ASSET MANAGEMENT, LLC TRUSTEE indirect 2009-06-01
MARINER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2010-01-01
440 INVESTMENT GROUP, LLC ELECTED MANAGER indirect 2007-07-01
440 INVESTMENT GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2008-09-01
440 INVESTMENT GROUP, LLC TRUSTEE indirect 2009-06-01
PALMER SQUARE CAPITAL MANAGEMENT LLC ELECTED MANAGER indirect 2007-07-01
PALMER SQUARE CAPITAL MANAGEMENT LLC TRUSTEE indirect 2009-06-01
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
TACTICAL INVESTMENT MANAGERS, LLC TRUSTEE indirect 2009-06-01
MARINER REAL ESTATE MANAGEMENT, LLC ELECTED MANAGER indirect 2007-07-01
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2008-09-01
MARINER REAL ESTATE MANAGEMENT, LLC TRUSTEE indirect 2009-06-01
MILLSTREET CAPITAL MANAGEMENT LLC ELECTED MANAGER indirect 2007-07-01
MILLSTREET CAPITAL MANAGEMENT LLC TRUSTEE indirect 2009-06-01
RIVERPOINT CAPITAL MANAGEMENT, LLC ELECTED MANAGER indirect 2007-07-01
RIVERPOINT WEALTH ADVISORS, LLC TRUSTEE indirect 2009-06-01
GIRALDA ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
GIRALDA ADVISORS, LLC TRUSTEE indirect 2009-06-01
GIRALDA ADVISORS, LLC CHAIRMAN direct 2015-03-01
MARINER WEALTH ADVISORS-MADISON, LLC ELECTED MANAGER indirect 2007-07-01
BRINTON EATON, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-MADISON, LLC ELECTED MANAGER indirect 2008-04-01
BRINTON EATON, LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS-MADISON, LLC CHAIRMAN direct 2012-10-01
FIRSTPOINT FINANCIAL, LLC ELECTED MANAGER indirect 2007-07-01
FIRSTPOINT FINANCIAL, LLC TRUSTEE indirect 2009-06-01
FIRSTPOINT FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2013-08-01
MARINER WEALTH ADVISORS-NYC, LLC ELECTED MANAGER indirect 2007-07-01
RR MARINER, LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC CHIEF EXECUTIVE OFFICER direct 2014-02-01
MARINER-HFG, LLC ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY indirect 2007-07-01
MARINER-HFG, LLC ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY indirect 2007-07-01
MARINER WEALTH ADVISORS-MANASQUAN, LLC ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY indirect 2008-04-01
MARINER-HFG, LLC TRUSTEE indirect 2009-06-01
MARINER RETIREMENT ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER RETIREMENT ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER RETIREMENT ADVISORS, LLC TRUSTEE indirect 2009-06-01
TORRAYRESOLUTE, LLC ELECTED MANAGER indirect 2007-07-01
MONTORRAY, LLC TRUSTEE indirect 2009-06-01
TORRAYRESOLUTE, LLC CHIEF EXECUTIVE OFFICER direct 2014-10-01
B+ INSTITUTIONAL SERVICES, LLC ELECTED MANAGER indirect 2007-07-01
B+ INSTITUTIONAL SERVICES, LLC TRUSTEE indirect 2009-06-01
B+ INSTITUTIONAL SERVICES, LLC MANAGER direct 2014-09-01
MARINER INSTITUTIONAL CONSULTING, LLC ELECTED MANAGER indirect 2007-07-01
MARINER INSTITUTIONAL CONSULTING, LLC TRUSTEE indirect 2009-06-01
VANTAGE INVESTMENT ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MWA - VIC, LLC ELECTED MANAGER indirect 2007-07-01
VANTAGE INVESTMENT ADVISORS, LLC ELECTED MANAGER indirect 2008-04-01
FIRSTPOINT FINANCIAL, LLC ELECTED MANAGER indirect 2007-07-01
FIRSTPOINT FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2015-03-01
REALTYCLUB INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2007-07-01
REALTYCLUB INVESTMENT ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2015-06-01
SILVERWEST HOTELS LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC CHIEF EXECUTIVE OFFICER direct 2015-03-01
TORTOISE INDEX SOLUTIONS, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS-CHICAGO, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-PACIFIC NORTHWEST, LLC CHIEF EXECUTIVE OFFICER direct 2015-05-01
RB INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE CREDIT STRATEGIES, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS-FORT WORTH, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-FORT WORTH, LLC CHIEF EXECUTIVE OFFICER direct 2015-09-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TSEC INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
TSEC INVESTMENTS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC ELECTED MANAGER indirect 2007-07-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS-SAN DIEGO, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-SAN DIEGO, LLC CHIEF EXECUTIVE OFFICER direct 2017-09-01
MARINER WEALTH ADVISORS-IC, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-IC, LLC CHIEF EXECUTIVE OFFICER direct 2017-09-01
MARINER WEALTH ADVISORS-OKLAHOMA, LLC ELECTED MANAGER indirect 2007-07-01
ADAMS HALL ASSET MANAGEMENT L.L.C. TRUSTEE indirect 2009-06-01
FOUNTAIN CAPITAL MANAGEMENT LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS-OMAHA, LLC ELECTED MANAGER indirect 2007-07-01
HENSON, GARY, PAUL DIRECTOR TORTOISE INVESTMENTS, LLC 09/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
FB CAPITAL MANAGEMENT OF KANSAS INC VICE PRESIDENT/PORTFOLIO MANAGER direct 1996-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2009-09-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MONTAGE INVESTMENTS, LLC PRESIDENT/CHIEF INVESTMENT OFFICER direct 2010-01-01
TACTICAL INVESTMENT MANAGERS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01
THE NATIONS GROUP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2010-08-01
TORRAYRESOLUTE, LLC MANAGING DIRECTOR direct 2014-10-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR direct 2016-08-01
MARINER VALUE STRATEGIES, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2008-10-09
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01 2009-09-17
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2009-12-01 2011-07-22
MONTAGE INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2010-01-01 2011-09-15
MARINER WEALTH ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2007-09-01 2011-09-20
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01 2012-03-12
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2008-09-01 2014-03-28
440 INVESTMENT GROUP, LLC PRESIDENT direct 2008-09-01 2015-01-30
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01 2015-07-17
BICKNELL FAMILY HOLDING COMPANY, LLC MANAGER MARINER HOLDINGS, LLC 02/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARINER WEALTH ADVISORS-FORT WORTH, LLC MEMBER indirect 2008-04-01
TORTOISE INVESTMENTS PARTNERS, LLC MANAGER indirect 2015-02-01
VARIANT, LLC MANAGER indirect 2015-02-01
TORTOISE CLEAN ENERGY PARTNERS, LLC MANAGER indirect 2015-02-01
MARINER WEALTH ADVISORS-SAN DIEGO, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-IC, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-OKLAHOMA, LLC MANAGER indirect 2008-04-01
ADAMS HALL WEALTH ADVISORS, LLC MEMBER indirect 2008-04-01
ADAMS HALL WEALTH ADVISORS, LLC OWNER indirect 2009-06-01
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-06-01
MARINER WEALTH ADVISORS-OMAHA, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-OMAHA, LLC MEMBER indirect 2008-04-01
ORIZON INVESTMENT COUNSEL LLC OWNER indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2008-04-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGING MEMBER indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. OWNER indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2015-02-01
MARINER WEALTH ADVISORS, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS, LLC MEMBER indirect 2008-04-01
MARINER WEALTH ADVISORS, LLC OWNER indirect 2009-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC OWNER indirect 2009-06-01
CONVERGENCE INVESTMENT PARTNERS, LLC MANAGER indirect 2008-04-01
CONVERGENCE INVESTMENT PARTNERS, LLC MEMBER indirect 2008-04-01
MARINER QUANTITATIVE SOLUTIONS, LLC OWNER indirect 2009-06-01
NUANCE INVESTMENTS, LLC OWNER indirect 2009-06-01
NUANCE INVESTMENTS, LLC MANAGER indirect 2015-02-01
NUANCE INVESTMENTS, LLC OWNER indirect 2208-04-01
THE NATIONS GROUP ADVISORS, LLC OWNER indirect 2009-06-01
ASCENT INVESTMENT PARTNERS, LLC MANAGER indirect 2008-04-01
ASCENT INVESTMENT PARTNERS, LLC MEMBER indirect 2008-04-01
ASCENT INVESTMENT PARTNERS, LLC MANAGING MEMBER indirect 2009-06-01
ASCENT INVESTMENT PARTNERS, LLC OWNER indirect 2009-06-01
MONTAGE INVESTMENTS, LLC MEMBER indirect 2008-04-01
MONTAGE INVESTMENTS, LLC MANAGER indirect 2008-04-01
MONTAGE ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
440 INVESTMENT GROUP, LLC MANAGER indirect 2008-04-01
440 INVESTMENT GROUP, LLC MEMBER indirect 2008-04-01
440 INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2009-06-01
440 INVESTMENT PARTNERS, LLC OWNER indirect 2009-06-01
PALMER SQUARE CAPITAL MANAGEMENT LLC MANAGER indirect 2008-04-01
PALMER SQUARE CAPITAL MANAGEMENT LLC MEMBER indirect 2008-04-01
PALMER SQUARE CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2209-06-01
TACTICAL INVESTMENT MANAGERS, LLC MANAGING MEMBER indirect 2010-01-01
MARINER REAL ESTATE MANAGEMENT, LLC MEMBER indirect 2008-04-01
MARINER REAL ESTATE MANAGEMENT, LLC MANAGER indirect 2008-04-01
MARINER REAL ESTATE MANAGEMENT, LLC MANAGING MEMBER indirect 2009-06-01
MILLSTREET CAPITAL MANAGEMENT LLC MEMBER indirect 2008-04-01
MILLSTREET CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-01-01
RIVERPOINT CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-04-01
RIVERPOINT CAPITAL MANAGEMENT, LLC OWNER indirect 2009-06-01
RIVERPOINT CAPITAL MANAGEMENT, LLC MANAGER indirect 2015-02-01
GIRALDA ADVISORS, LLC MANAGER indirect 2008-04-01
GIRALDA ADVISORS, LLC MEMBER indirect 2008-04-01
GIRALDA ADVISORS, LLC OWNER indirect 2009-06-01
MARINER WEALTH ADVISORS-MADISON, LLC MANAGER indirect 2008-04-01
BRINTON EATON, LLC MEMBER indirect 2008-04-01
BEWA, LLC OWNER indirect 2009-06-01
FIRSTPOINT FINANCIAL, LLC MEMBER indirect 2008-04-01
FIRSTPOINT FINANCIAL, LLC OWNER indirect 2009-06-01
MARINER WEALTH ADVISORS-NYC, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-NYC, LLC MEMBER indirect 2008-04-01
RR MARINER, LLC OWNER indirect 2009-06-01
MARINER WEALTH ADVISORS-NYC, LLC MANAGER indirect 2015-02-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC MEMBER indirect 2008-04-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC OWNER indirect 2009-06-01
MARINER-HFG, LLC MEMBER indirect 2008-04-01
MARINER WEALTH ADVISORS-MANASQUAN, LLC MANAGER indirect 2008-04-01
MARINER-HFG, LLC OWNER indirect 2009-06-01
MARINER WEALTH ADVISORS-MANASQUAN, LLC MANAGER indirect 2015-02-01
MARINER RETIREMENT ADVISORS, LLC MEMBER indirect 2008-04-01
MARINER RETIREMENT ADVISORS, LLC MANAGER indirect 2008-04-01
MARINER RETIREMENT ADVISORS, LLC OWNER indirect 2009-06-01
MARINER RETIREMENT ADVISORS, LLC MANAGER indirect 2015-02-01
TORRAYRESOLUTE, LLC MANAGER indirect 2008-04-01
TORRAYRESOLUTE, LLC MEMBER indirect 2008-04-01
MONTORRAY, LLC MANAGING MEMBER indirect 2010-01-01
B+ INSTITUTIONAL SERVICES, LLC MEMBER indirect 2008-04-01
B+ INSTITUTIONAL SERVICES, LLC MANAGING MEMBER indirect 2010-01-01
MARINER INSTITUTIONAL CONSULTING, LLC MANAGER indirect 2008-04-01
MARINER INSTITUTIONAL CONSULTING, LLC MEMBER indirect 2008-04-01
MARINER INSTITUTIONAL CONSULTING, LLC OWNER indirect 2009-06-01
VANTAGE INVESTMENT ADVISORS, LLC MEMBER indirect 2008-04-01
VANTAGE INVESTMENT ADVISORS, LLC MANAGER indirect 2008-04-01
VANTAGE INVESTMENT ADVISORS, LLC MANAGER indirect 2015-02-01
FIRSTPOINT FINANCIAL, LLC MEMBER indirect 2008-04-01
FIRSTPOINT FINANCIAL, LLC MANAGER indirect 2015-02-01
REALTYCLUB INVESTMENT ADVISORS LLC MANAGER indirect 2008-04-01
MREM-RC HOLDINGS, LLC MEMBER indirect 2008-04-01
SMG HOSPITALITY MANAGEMENT LLC MEMBER indirect 2008-04-01
SILVERWEST HOTELS LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC MEMBER indirect 2008-04-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC MANAGER indirect 2015-02-01
TORTOISE INDEX SOLUTIONS, LLC MEMBER indirect 2008-04-01
TORTOISE INDEX SOLUTIONS, LLC MANAGER indirect 2015-02-01
MARINER WEALTH ADVISORS-SEATTLE, LLC MEMBER indirect 2008-04-01
MARINER WEALTH ADVISORS-CHICAGO, LLC MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS-CHICAGO, LLC MANAGER indirect 2015-02-01
RB INVESTMENTS, LLC MEMBER indirect 2008-04-01
RB INVESTMENTS, LLC MANAGER indirect 2008-04-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2008-04-01
TORTOISE CREDIT STRATEGIES, LLC MANAGER indirect 2015-02-01
BICKNELL, MARTIN, CHRISTOPHER ELECTED MANAGER BICKNELL FAMILY HOLDING COMPANY, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
MARINER WEALTH ADVISORS-OMAHA, LLC ELECTED MANAGER indirect 2008-04-01
ORIZON INVESTMENT COUNSEL LLC TRUSTEE indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. ELECTED MANAGER indirect 2007-07-01
TORTOISE CAPITAL ADVISORS, L.L.C. TRUSTEE indirect 2009-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS, LLC CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER direct 2006-05-01
MARINER WEALTH ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2006-05-01
MARINER WEALTH ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS, LLC ELECTED MANAGER indirect 2008-04-01
MARINER WEALTH ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
MARINER WEALTH ADVISORS, LLC TRUSTEE indirect 2009-06-01
SYCAMORE INVESTMENT GROUP, LLC CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER indirect 2006-05-01
CONFLUENCE INVESTMENT MANAGEMENT LLC TRUSTEE indirect 2009-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2009-09-01
MARINER QUANTITATIVE SOLUTIONS, LLC MEMBER, CEO indirect 2006-12-01
MARINER QUANTITATIVE SOLUTIONS, LLC MEMBER, CEO, CHIEF INVESTMENT OFFICER indirect 2006-12-01
CONVERGENCE INVESTMENT PARTNERS, LLC ELECTED MANAGER indirect 2007-07-01
CONVERGENCE INVESTMENT PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
MARINER QUANTITATIVE SOLUTIONS, LLC CEO direct 2008-08-01
CONVERGENCE INVESTMENT PARTNERS, LLC TRUSTEE indirect 2009-06-01
MARINER VALUE STRATEGIES, LLC MEMBER indirect 2006-12-01
NUANCE INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
NUANCE INVESTMENTS, LLC CEO direct 2008-09-01
NUANCE INVESTMENTS, LLC TRUSTEE indirect 2009-06-01
THE NATIONS GROUP ADVISORS, LLC TRUSTEE indirect 2009-06-01
THE NATIONS GROUP ADVISORS, LLC CEO direct 2009-10-01
THE NATIONS GROUP ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2009-10-01
ASCENT INVESTMENT PARTNERS, LLC ELECTED MANAGER indirect 2007-07-01
ASCENT INVESTMENT PARTNERS, LLC TRUSTEE indirect 2009-06-01
ASCENT INVESTMENT PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
MONTAGE INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER ASSET MANAGEMENT, LLC TRUSTEE indirect 2009-06-01
MARINER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2010-01-01
440 INVESTMENT GROUP, LLC ELECTED MANAGER indirect 2007-07-01
440 INVESTMENT GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2008-09-01
440 INVESTMENT GROUP, LLC TRUSTEE indirect 2009-06-01
PALMER SQUARE CAPITAL MANAGEMENT LLC ELECTED MANAGER indirect 2007-07-01
PALMER SQUARE CAPITAL MANAGEMENT LLC TRUSTEE indirect 2009-06-01
PALMER SQUARE CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2009-12-01
TACTICAL INVESTMENT MANAGERS, LLC TRUSTEE indirect 2009-06-01
MARINER REAL ESTATE MANAGEMENT, LLC ELECTED MANAGER indirect 2007-07-01
MARINER REAL ESTATE MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2008-09-01
MARINER REAL ESTATE MANAGEMENT, LLC TRUSTEE indirect 2009-06-01
MILLSTREET CAPITAL MANAGEMENT LLC ELECTED MANAGER indirect 2007-07-01
MILLSTREET CAPITAL MANAGEMENT LLC TRUSTEE indirect 2009-06-01
RIVERPOINT CAPITAL MANAGEMENT, LLC ELECTED MANAGER indirect 2007-07-01
RIVERPOINT WEALTH ADVISORS, LLC TRUSTEE indirect 2009-06-01
GIRALDA ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
GIRALDA ADVISORS, LLC TRUSTEE indirect 2009-06-01
GIRALDA ADVISORS, LLC CHAIRMAN direct 2015-03-01
MARINER WEALTH ADVISORS-MADISON, LLC ELECTED MANAGER indirect 2007-07-01
BRINTON EATON, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-MADISON, LLC ELECTED MANAGER indirect 2008-04-01
BRINTON EATON, LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS-MADISON, LLC CHAIRMAN direct 2012-10-01
FIRSTPOINT FINANCIAL, LLC ELECTED MANAGER indirect 2007-07-01
FIRSTPOINT FINANCIAL, LLC TRUSTEE indirect 2009-06-01
FIRSTPOINT FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2013-08-01
MARINER WEALTH ADVISORS-NYC, LLC ELECTED MANAGER indirect 2007-07-01
RR MARINER, LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS - LEAWOOD, LLC CHIEF EXECUTIVE OFFICER direct 2014-02-01
MARINER-HFG, LLC ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY indirect 2007-07-01
MARINER-HFG, LLC ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY indirect 2007-07-01
MARINER WEALTH ADVISORS-MANASQUAN, LLC ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY indirect 2008-04-01
MARINER-HFG, LLC TRUSTEE indirect 2009-06-01
MARINER RETIREMENT ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER RETIREMENT ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER RETIREMENT ADVISORS, LLC TRUSTEE indirect 2009-06-01
TORRAYRESOLUTE, LLC ELECTED MANAGER indirect 2007-07-01
MONTORRAY, LLC TRUSTEE indirect 2009-06-01
TORRAYRESOLUTE, LLC CHIEF EXECUTIVE OFFICER direct 2014-10-01
B+ INSTITUTIONAL SERVICES, LLC ELECTED MANAGER indirect 2007-07-01
B+ INSTITUTIONAL SERVICES, LLC TRUSTEE indirect 2009-06-01
B+ INSTITUTIONAL SERVICES, LLC MANAGER direct 2014-09-01
MARINER INSTITUTIONAL CONSULTING, LLC ELECTED MANAGER indirect 2007-07-01
MARINER INSTITUTIONAL CONSULTING, LLC TRUSTEE indirect 2009-06-01
VANTAGE INVESTMENT ADVISORS, LLC ELECTED MANAGER indirect 2007-07-01
MWA - VIC, LLC ELECTED MANAGER indirect 2007-07-01
VANTAGE INVESTMENT ADVISORS, LLC ELECTED MANAGER indirect 2008-04-01
FIRSTPOINT FINANCIAL, LLC ELECTED MANAGER indirect 2007-07-01
FIRSTPOINT FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2015-03-01
REALTYCLUB INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2007-07-01
REALTYCLUB INVESTMENT ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2015-06-01
SILVERWEST HOTELS LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-ST. LOUIS, LLC CHIEF EXECUTIVE OFFICER direct 2015-03-01
TORTOISE INDEX SOLUTIONS, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS-CHICAGO, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-PACIFIC NORTHWEST, LLC CHIEF EXECUTIVE OFFICER direct 2015-05-01
RB INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE CREDIT STRATEGIES, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2009-09-01
TORTOISE FI, LLC DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS-FORT WORTH, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-FORT WORTH, LLC CHIEF EXECUTIVE OFFICER direct 2015-09-01
ALEGRIA ENERGY, LLC ELECTED MANAGER direct 2015-11-01
TSEC INVESTMENTS, LLC ELECTED MANAGER indirect 2007-07-01
TSEC INVESTMENTS, LLC DIRECTOR indirect 2009-09-01
VARIANT, LLC ELECTED MANAGER indirect 2007-07-01
VARIANT, LLC DIRECTOR indirect 2009-09-01
TORTOISE CLEAN ENERGY PARTNERS, LLC ELECTED MANAGER indirect 2007-07-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2009-09-01
MARINER WEALTH ADVISORS-SAN DIEGO, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-SAN DIEGO, LLC CHIEF EXECUTIVE OFFICER direct 2017-09-01
MARINER WEALTH ADVISORS-IC, LLC ELECTED MANAGER indirect 2007-07-01
MARINER WEALTH ADVISORS-IC, LLC CHIEF EXECUTIVE OFFICER direct 2017-09-01
MARINER WEALTH ADVISORS-OKLAHOMA, LLC ELECTED MANAGER indirect 2007-07-01
ADAMS HALL ASSET MANAGEMENT L.L.C. TRUSTEE indirect 2009-06-01
FOUNTAIN CAPITAL MANAGEMENT LLC TRUSTEE indirect 2009-06-01
MARINER WEALTH ADVISORS-OMAHA, LLC ELECTED MANAGER indirect 2007-07-01
MONTAGE INVESTMENTS, LLC MEMBER TORTOISE INVESTMENTS, LLC 01/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2010-01-01
CONVERGENCE INVESTMENT PARTNERS, LLC MEMBER direct 2010-01-01
NUANCE INVESTMENTS, LLC MANAGING MEMBER direct 2010-01-01
ASCENT INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2009-12-01
440 INVESTMENT GROUP, LLC MANAGING MEMBER direct 2010-01-01
PALMER SQUARE CAPITAL MANAGEMENT LLC MANAGING MEMBER direct 2010-01-01
MILLSTREET CAPITAL MANAGEMENT LLC MEMBER indirect 2010-08-01
TORTOISE INDEX SOLUTIONS, LLC MEMBER indirect 2010-01-01
TORTOISE CREDIT STRATEGIES, LLC MEMBER indirect 2010-01-01
TORTOISE INVESTMENTS PARTNERS, LLC MEMBER indirect 2010-01-01
VARIANT, LLC MEMBER indirect 2010-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC MEMBER indirect 2010-01-01
MATLACK, TERRY, CLYDE DIRECTOR TORTOISE INVESTMENTS, LLC 01/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER indirect 2001-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. ACTIVE indirect 2001-06-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER/CHIEF COMPLIANCE OFFICER direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2001-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-10-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2015-01-01
VARIANT, LLC DIRECTOR indirect 2015-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2015-01-01
MALVEY, KENNETH, PETER DIRECTOR TORTOISE INVESTMENTS, LLC 01/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 2004-04-01
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 2004-04-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2002-10-01
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2004-03-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01
CONFLUENCE CAPITAL MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2015-01-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2015-01-01
VARIANT, LLC DIRECTOR indirect 2015-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2015-01-01
HAMEL, ZACHARY, ALAN DIRECTOR TORTOISE INVESTMENTS, LLC 01/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR direct 2002-10-01
VARIANT, LLC DIRECTOR indirect 2015-01-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01
TORTOISE INVESTMENTS PARTNERS, LLC DIRECTOR indirect 2015-01-01
TORTOISE CLEAN ENERGY PARTNERS, LLC DIRECTOR indirect 2015-01-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR direct 2015-02-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR direct 2015-07-01
TORTOISE CREDIT STRATEGIES, LLC DIRECTOR indirect 2016-03-01
VARIANT, LLC DIRECTOR indirect 2016-03-01
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2002-01-01 2007-09-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MANAGER indirect 2002-11-01 2009-03-18
CONFLUENCE INVESTMENT MANAGEMENT LLC MEMBER / MANAGER indirect 2007-08-01 2009-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER/MANAGER indirect 2007-08-01 2009-05-20
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-11-01 2009-09-17
FOUNTAIN CAPITAL MANAGEMENT LLC MANAGER direct 2002-01-01 2012-04-17
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER/MANAGER indirect 2002-01-01 2012-06-06
TORTOISE CAPITAL ADVISORS, L.L.C. MANAGER direct 2002-10-01 2015-03-30
TORTOISE INDEX SOLUTIONS, LLC MANAGER direct 2015-02-01 2015-05-06
TORTOISE CAPITAL ADVISORS, L.L.C. DIRECTOR indirect 2015-01-01 2015-07-01
TORTOISE INDEX SOLUTIONS, LLC DIRECTOR indirect 2015-01-01 2015-07-01
TORTOISE FI, LLC DIRECTOR indirect 2015-01-01 2015-07-17

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TORTOISE COMMINGLED MLP FUND, LLC United States 805-2791983910 Other Private Fund COMMINGLED LLC 230,674,653 250,000
TORTOISE DIRECT OPPORTUNITIES FUND, LP United States 805-1080049994 Hedge Fund 202,723,457 1,000,000
US ENERGY I, LLC United States 805-6605219583 Other Private Fund LONG-ONLY STRATEGY WITH ASSET-BASED FEE 129,385,806 50,000,000

WhaleScore history for TORTOISE CAPITAL ADVISORS, L.L.C.

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