TRUEWEALTH LLC

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Truewealth is based out of Atlanta. Truewealth is a large advisory firm with 549 clients and discretionary assets under management (AUM) of $1,291,736,545 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $231,669,000 in managed 13F securities and a top 10 holdings concentration of 52.16%. Truewealth's largest holding is Coca Cola Co. with shares held of 1,101,653. Whalewisdom has at least 8 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $231.669 Million
  • Prior Market Value $224.954 Million
  • New Purchases28 stocks
  • Additional Purchases109 stocks
  • Sold out of56 stocks
  • Reduced holdings in64 stocks
  • Top 10 Holdings % 52.16 %
  • Turnover % [1]:11.44%
  • Turnover Alt % [2]: 5.42 %
  • Time Held Top20:4.90 quarters
  • Time Held Top10:5.10 quarters
  • Time Held All:6.29 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: -0.43%
Performance Last 4 Quarters: -1.59%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 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 (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

TRUEWEALTH MANAGEMENT
3630 PEACHTREE ROAD, NE SUITE 300
ATLANTA GA    30326
Country: United States

Business Phone: 404-487-0500
Fax: 404-487-0510
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: GA
Number of employees: 29
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 1,271,200,000
Total Number of Clients: 549
Amount of client funds and securities by related persons: 91,359
Total Number of clients from related persons: 1
Disclosures:
Data above was derived from SEC filings.

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TRUEWEALTH, LLC

ownership team - last updated 2019-04-12
Name Title Start Date Direct/Indirect % Ownership
HEARD, JAMES, WALLACE CHAIRMAN 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGER 03/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WBFG, INC. MEMBER 03/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC OWNER direct 2011-03-01
TRUEWEALTH, LLC MEMBER direct 2011-03-01
WARD, ROGER, GLENN MANAGER, CHIEF INVESTMENT OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
TRUEWEALTH, LLC MANAGER direct 2014-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC VICE PRESIDENT direct 2001-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-05-01
WBFG HOLDINGS, LLC MEMBER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MEMBER direct 2014-01-01
LEWIS, STACY, M MANAGER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
NASCA, LAURA, HAMILTON CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER direct 2018-01-01
BIRCHETT, JENNIFER, ELAINE MANAGER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2018-01-01
TW HOLDINGS II, LLC MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MEMBER direct 2018-01-01
HEARD, JAMES, WALLACE SHAREHOLDER WBFG, INC. 11/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL SHAREHOLDER WBFG, INC. 01/01/2003 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
HEARD, JAMES, WALLACE MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
LEWIS, STACY, M MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
BIRCHETT, JENNIFER, ELAINE MEMBER TW HOLDINGS II, LLC 04/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2018-01-01

TRUEWEALTH, LLC

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
HEARD, JAMES, WALLACE CHAIRMAN 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGER 03/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WBFG, INC. MEMBER 03/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC OWNER direct 2011-03-01
TRUEWEALTH, LLC MEMBER direct 2011-03-01
WARD, ROGER, GLENN MANAGER, CHIEF INVESTMENT OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
TRUEWEALTH, LLC MANAGER direct 2014-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC VICE PRESIDENT direct 2001-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-05-01
WBFG HOLDINGS, LLC MEMBER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MEMBER direct 2014-01-01
LEWIS, STACY, M MANAGER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
NASCA, LAURA, HAMILTON CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER direct 2018-01-01
BIRCHETT, JENNIFER, ELAINE MANAGER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2018-01-01
TW HOLDINGS II, LLC MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MEMBER direct 2018-01-01
HEARD, JAMES, WALLACE SHAREHOLDER WBFG, INC. 11/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL SHAREHOLDER WBFG, INC. 01/01/2003 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
HEARD, JAMES, WALLACE MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
LEWIS, STACY, M MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
Maiorano, Michael, Lewis MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC PRESIDENT direct 2016-10-01

TRUEWEALTH, LLC

ownership team - last updated 2018-12-17
Name Title Start Date Direct/Indirect % Ownership
HEARD, JAMES, WALLACE CHAIRMAN 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGER 03/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WBFG, INC. MEMBER 03/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC OWNER direct 2011-03-01
TRUEWEALTH, LLC MEMBER direct 2011-03-01
WARD, ROGER, GLENN MANAGER, CHIEF INVESTMENT OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
TRUEWEALTH, LLC MANAGER direct 2014-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC VICE PRESIDENT direct 2001-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-05-01
WBFG HOLDINGS, LLC MEMBER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MEMBER direct 2014-01-01
LEWIS, STACY, M MANAGER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
NASCA, LAURA, HAMILTON CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER direct 2018-01-01
SKELTON, TODD, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC CHIEF OPERATING OFFICER direct 2018-01-01
BIRCHETT, JENNIFER, ELAINE MANAGER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2018-01-01
TW HOLDINGS II, LLC MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MEMBER direct 2018-01-01
HEARD, JAMES, WALLACE SHAREHOLDER WBFG, INC. 11/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL SHAREHOLDER WBFG, INC. 01/01/2003 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
HEARD, JAMES, WALLACE MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
LEWIS, STACY, M MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
Maiorano, Michael, Lewis MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC PRESIDENT direct 2016-10-01

TRUEWEALTH, LLC

ownership team - last updated 2018-05-09
Name Title Start Date Direct/Indirect % Ownership
HEARD, JAMES, WALLACE CHAIRMAN 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGER 03/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WBFG, INC. MEMBER 03/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC OWNER direct 2011-03-01
TRUEWEALTH, LLC MEMBER direct 2011-03-01
WARD, ROGER, GLENN MANAGER, CHIEF INVESTMENT OFFICER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
TRUEWEALTH, LLC MANAGER direct 2014-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC VICE PRESIDENT direct 2001-01-01
TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2003-05-01
WBFG HOLDINGS, LLC MEMBER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC MEMBER direct 2014-01-01
Maiorano, Michael, Lewis PRESIDENT / CEO 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC PRESIDENT direct 2016-10-01
LEWIS, STACY, M MANAGER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
NASCA, LAURA, HAMILTON CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC CHIEF COMPLIANCE OFFICER / CHIEF ADMINISTRATIVE OFFICER direct 2018-01-01
SKELTON, TODD, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC CHIEF OPERATING OFFICER direct 2018-01-01
BIRCHETT, JENNIFER, ELAINE MANAGER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2018-01-01
TW HOLDINGS II, LLC MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MEMBER direct 2018-01-01
HEARD, JAMES, WALLACE SHAREHOLDER WBFG, INC. 11/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL SHAREHOLDER WBFG, INC. 01/01/2003 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
HEARD, JAMES, WALLACE MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 1999-11-01
TRUEWEALTH, LLC CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
WINDHAM BRANNON INVESTMENTS INC PRESIDENT direct 1999-11-01 2004-01-30
WINDHAM BRANNON FINANCIAL GROUP, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-11-01 2011-04-26
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2011-05-11
WINDHAM BRANNON FINANCIAL GROUP, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2011-03-01 2014-01-14
TRUEWEALTH, LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/MANAGER direct 2011-03-01 2017-03-14
MERRILL, AMY, FAREL MANAGING MEMBER WBFG HOLDINGS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WINDHAM BRANNON FINANCIAL GROUP, LLC SHAREHOLDER indirect 2003-01-01
WINDHAM BRANNON INVESTMENTS INC VICE PRESIDENT direct 2003-01-01
WINDHAM BRANNON FINANCIAL GROUP, LLC MANAGING MEMBER direct 2011-03-01
TRUEWEALTH, LLC MANAGER direct 2011-03-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2014-01-01
LEWIS, STACY, M MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC MANAGER direct 2017-01-01
TRUEWEALTH, LLC MANAGING MEMBER indirect 2018-01-01
Maiorano, Michael, Lewis MANAGING MEMBER TW HOLDINGS II, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TRUEWEALTH, LLC PRESIDENT direct 2016-10-01

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