WINTRUST INVESTMENTS LLC

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Wintrust Investments is based out of Chicago. Wintrust Investments is a large advisory firm with 4968 clients and discretionary assets under management (AUM) of $4,480,215,307 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $670,408,000 in managed 13F securities and a top 10 holdings concentration of 36.98%. Wintrust Investments's largest holding is Vanguard FTSE Emerging Markets ETF with shares held of 934,263. Whalewisdom has at least 14 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $670.408 Million
  • Prior Market Value $659.352 Million
  • New Purchases32 stocks
  • Additional Purchases146 stocks
  • Sold out of36 stocks
  • Reduced holdings in140 stocks
  • Top 10 Holdings % 36.98 %
  • Turnover % [1]:18.89%
  • Turnover Alt % [2]: 8.09 %
  • Time Held Top20:7.85 quarters
  • Time Held Top10:8.00 quarters
  • Time Held All:7.63 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 2019-11-14

Performance for Q3 2019: 7.44%
Performance Last 4 Quarters: 11.37%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted
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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)
  • 2017-09-30 - 13F-HR (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)

View Last Form Adv Compilation Report on Record

WINTRUST INVESTMENTS
231 SOUTH LASALLE STREET 13TH FLOOR
CHICAGO IL    60604
Country: United States

Business Phone: 312-431-1700
Fax: 312-846-9460
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 226
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 0
Total Number of Clients: 4968
Amount of client funds and securities by related persons: 122,466,000
Total Number of clients from related persons: 4080
Disclosures: 11.E (2)
Data above was derived from SEC filings.

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WINTRUST INVESTMENTS, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
SILVER, ELLIOTT JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS HOLDINGS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-03-01
WAYNE HUMMER MANAGEMENT CO COMPLIANCE DIRECTOR direct 1994-10-01 2004-03-31
WAYNE HUMMER INVESTMENTS L.L.C. CCO, SROP direct 2005-03-01 2006-03-28
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER, SROP direct 2005-03-01 2009-03-05
WINTRUST BANK SOLE DIRECT OWNER 10/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE DIRECT OWNER direct 2002-10-01
KIERNAN, THOMAS JOSEPH MUNICIPAL PRINCIPAL 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. MUNICIPAL PRINCIPAL direct 1998-03-01
SOMMERFIELD, JAMES ALFRED JR SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. COMPLIANCE OFFICER, CROP direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL, CROP direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. COMPLIANCE OFFICER, INSURANCE PRINCIPAL, CROP direct 2005-03-01
GETZ, BERT ATWATER JR DIRECTOR 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2005-01-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2002-07-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2008-11-01
GLOBE FINANCIAL CORPORATION VP direct 2001-02-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ZIDAR, THOMAS PATRICK CHAIRMAN & CEO 09/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHAIRMAN & CEO direct 2006-09-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
GREAT LAKES ADVISORS, LLC MANAGER CHAIRMAN direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CHAIRMAN, MANAGER direct 2009-02-01
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-04-08
ABN AMRO FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-09-28
WAYNE HUMMER ASSET MANAGEMENT COMPANY EXECUTIVE VICE PRESIDENT direct 2006-06-01 2006-07-31
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN direct 2006-06-01 2006-08-29
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN & CEO direct 2006-09-01 2008-10-27
AIP ACQUISITION COMPANY, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER direct 2009-02-01 2009-03-05
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER CHAIRMAN & CEO direct 2008-11-01 2011-04-04
HEITMANN, SCOTT KEITH DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2008-07-01
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ABN AMRO FINANCIAL SERVICES, INC. DIRECTOR direct 1993-01-01 2003-07-25
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2008-07-01 2008-10-27
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
GLABE, MARLA FRIEDMAN DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLSTATE ASSURANCE COMPANY DIRECTOR; SENIOR VICE PRESIDENT direct 2002-08-01
ALLSTATE ASSURANCE COMPANY SENIOR VICE PRESIDENT direct 2004-09-01
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2009-09-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2009-10-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2009-10-01
HUGHES, TERRANCE GREGORY DIRECTOR OF SALES 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR OF SALES direct 2013-01-01
CARLISLE, PAUL CLAYTON DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2014-01-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2014-03-01
CORBETT, JAMES EDWARD CHIEF OPERATIONS OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WINTRUST INVESTMENTS, LLC CHIEF OPERATIONS OFFICER direct 2018-06-01
KAMRADT, MICHAEL PAUL DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MCDONNELL INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFCR & CLASS A MEMBER direct 2001-08-01 2010-11-17
MCKINNEY, SUZET MEYLIEU DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGER direct 2019-01-01
WINTRUST INVESTMENTS, LLC DIRECTOR direct 2019-01-01
ROLDAN, CELENA DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGER direct 2019-01-01
WINTRUST INVESTMENTS, LLC DIRECTOR direct 2019-01-01
SMYTH, MICHAEL J CHIEF FINANCIAL OFFICER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CSFBDIRECT LLC CFO/FIN OP direct 2002-02-01 2005-05-05
HARRIS INVESTOR SERVICES, INC. VP, CHIEF FINANCIAL OFFICER direct 2006-04-01 2008-03-28
BMO HARRIS FINANCIAL ADVISORS, INC CHIEF FINANCIAL OFFICER direct 2011-03-01 2013-12-09
BMO HARRIS FINANCIAL ADVISORS, INC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2011-03-01 2014-09-15
WINTRUST FINANCIAL CORPORATION SOLE OWNER WINTRUST BANK 09/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01
WINTRUST CAPITAL MANAGEMENT, LLC DIRECT OWNER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2008-11-01
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2005-04-22
WAYNE HUMMER MANAGEMENT CO CORPORATE PARENT direct 2002-02-01 2008-10-27
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2009-02-01 2009-03-03
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2016-11-14

WINTRUST INVESTMENTS, LLC

ownership team - last updated 2018-11-05
Name Title Start Date Direct/Indirect % Ownership
SILVER, ELLIOTT JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS HOLDINGS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-03-01
WAYNE HUMMER MANAGEMENT CO COMPLIANCE DIRECTOR direct 1994-10-01 2004-03-31
WAYNE HUMMER INVESTMENTS L.L.C. CCO, SROP direct 2005-03-01 2006-03-28
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER, SROP direct 2005-03-01 2009-03-05
WINTRUST BANK SOLE DIRECT OWNER 10/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE DIRECT OWNER direct 2002-10-01
KIERNAN, THOMAS JOSEPH MUNICIPAL PRINCIPAL 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. MUNICIPAL PRINCIPAL direct 1998-03-01
SOMMERFIELD, JAMES ALFRED JR SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. COMPLIANCE OFFICER, CROP direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL, CROP direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. COMPLIANCE OFFICER, INSURANCE PRINCIPAL, CROP direct 2005-03-01
GETZ, BERT ATWATER JR DIRECTOR 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2005-01-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2002-07-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2008-11-01
GLOBE FINANCIAL CORPORATION VP direct 2001-02-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ZIDAR, THOMAS PATRICK CHAIRMAN & CEO 09/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHAIRMAN & CEO direct 2006-09-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
GREAT LAKES ADVISORS, LLC MANAGER CHAIRMAN direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CHAIRMAN, MANAGER direct 2009-02-01
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-04-08
ABN AMRO FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-09-28
WAYNE HUMMER ASSET MANAGEMENT COMPANY EXECUTIVE VICE PRESIDENT direct 2006-06-01 2006-07-31
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN direct 2006-06-01 2006-08-29
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN & CEO direct 2006-09-01 2008-10-27
AIP ACQUISITION COMPANY, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER direct 2009-02-01 2009-03-05
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER CHAIRMAN & CEO direct 2008-11-01 2011-04-04
PAULUS, THOMAS MARTIN CHIEF FINANCIAL OFFICER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2007-03-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF FINANCIAL OFFICER direct 2007-04-01
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER, MANAGER direct 2010-09-01
ABN AMRO FINANCIAL SERVICES, INC. CONTROLLER direct 2002-01-01 2007-03-28
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01 2011-03-31
HEITMANN, SCOTT KEITH DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2008-07-01
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ABN AMRO FINANCIAL SERVICES, INC. DIRECTOR direct 1993-01-01 2003-07-25
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2008-07-01 2008-10-27
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
GLABE, MARLA FRIEDMAN DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLSTATE ASSURANCE COMPANY DIRECTOR; SENIOR VICE PRESIDENT direct 2002-08-01
ALLSTATE ASSURANCE COMPANY SENIOR VICE PRESIDENT direct 2004-09-01
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2009-09-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2009-10-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2009-10-01
HUGHES, TERRANCE GREGORY DIRECTOR OF SALES 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR OF SALES direct 2013-01-01
CARLISLE, PAUL CLAYTON DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2014-01-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2014-03-01
BIONDO, MICHELLE KAY CHIEF OPERATIONS OFFICER 04/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF OPERATIONS OFFICER direct 2011-04-01
WINTRUST FINANCIAL CORPORATION SOLE OWNER WINTRUST BANK 09/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01
WINTRUST CAPITAL MANAGEMENT, LLC DIRECT OWNER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2008-11-01
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2005-04-22
WAYNE HUMMER MANAGEMENT CO CORPORATE PARENT direct 2002-02-01 2008-10-27
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2009-02-01 2009-03-03
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2016-11-14

WAYNE HUMMER INVESTMENTS L.L.C.

ownership team - last updated 2017-03-24
Name Title Start Date Direct/Indirect % Ownership
SILVER, ELLIOTT JOSEPH CHIEF COMPLIANCE OFFICER 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS HOLDINGS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-03-01
WAYNE HUMMER MANAGEMENT CO COMPLIANCE DIRECTOR direct 1994-10-01 2004-03-31
WAYNE HUMMER INVESTMENTS L.L.C. CCO, SROP direct 2005-03-01 2006-03-28
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER, SROP direct 2005-03-01 2009-03-05
LILLARD, JOHN STOLL DIRECTOR 02/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2002-02-01
WAYNE HUMMER MANAGEMENT CO DIRECTOR direct 2002-05-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY MANAGER direct 2008-11-01
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
WINTRUST BANK SOLE DIRECT OWNER 10/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE DIRECT OWNER direct 2002-10-01
KIERNAN, THOMAS JOSEPH MUNICIPAL PRINCIPAL 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. MUNICIPAL PRINCIPAL direct 1998-03-01
SOMMERFIELD, JAMES ALFRED JR SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. COMPLIANCE OFFICER, CROP direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL, CROP direct 2005-03-01
WAYNE HUMMER INVESTMENTS L.L.C. COMPLIANCE OFFICER, INSURANCE PRINCIPAL, CROP direct 2005-03-01
GETZ, BERT ATWATER JR DIRECTOR 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2005-01-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2002-07-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2008-11-01
GLOBE FINANCIAL CORPORATION VP direct 2001-02-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ZIDAR, THOMAS PATRICK CHAIRMAN & CEO 09/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHAIRMAN & CEO direct 2006-09-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
GREAT LAKES ADVISORS, LLC MANAGER CHAIRMAN direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CHAIRMAN, MANAGER direct 2009-02-01
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-04-08
ABN AMRO FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-09-28
WAYNE HUMMER ASSET MANAGEMENT COMPANY EXECUTIVE VICE PRESIDENT direct 2006-06-01 2006-07-31
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN direct 2006-06-01 2006-08-29
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN & CEO direct 2006-09-01 2008-10-27
AIP ACQUISITION COMPANY, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER direct 2009-02-01 2009-03-05
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER CHAIRMAN & CEO direct 2008-11-01 2011-04-04
PAULUS, THOMAS MARTIN CHIEF FINANCIAL OFFICER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2007-03-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF FINANCIAL OFFICER direct 2007-04-01
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER, MANAGER direct 2010-09-01
ABN AMRO FINANCIAL SERVICES, INC. CONTROLLER direct 2002-01-01 2007-03-28
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01 2011-03-31
HEITMANN, SCOTT KEITH DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2008-07-01
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ABN AMRO FINANCIAL SERVICES, INC. DIRECTOR direct 1993-01-01 2003-07-25
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2008-07-01 2008-10-27
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
GLABE, MARLA FRIEDMAN DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLSTATE ASSURANCE COMPANY DIRECTOR; SENIOR VICE PRESIDENT direct 2002-08-01
ALLSTATE ASSURANCE COMPANY SENIOR VICE PRESIDENT direct 2004-09-01
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2009-09-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2009-10-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2009-10-01
HUGHES, TERRANCE GREGORY DIRECTOR OF SALES 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR OF SALES direct 2013-01-01
CARLISLE, PAUL CLAYTON DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2014-01-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2014-03-01
BIONDO, MICHELLE KAY CHIEF OPERATIONS OFFICER 04/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF OPERATIONS OFFICER direct 2011-04-01
WINTRUST FINANCIAL CORPORATION SOLE OWNER WINTRUST BANK 09/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01
WINTRUST CAPITAL MANAGEMENT, LLC DIRECT OWNER indirect 2008-11-01
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WAYNE HUMMER MANAGEMENT CO CORPORATE PARENT direct 2002-02-01 2008-10-27
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2009-02-01 2009-03-03
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2016-11-14

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