WEDBUSH SECURITIES INC

https://www.linkedin.com/company/wedbush/ • LOS ANGELES, CA • Investment Advisor How do I update this listing?

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Wedbush Securities is based out of Los Angeles. Wedbush Securities is a large advisory firm with 8553 clients and discretionary assets under management (AUM) of $2,636,909,879 (Form ADV from 2022-11-21). Their last reported 13F filing for Q4 2022 included $1,819,299,000 in managed 13F securities and a top 10 holdings concentration of 32.64%. Wedbush Securities's largest holding is SPDR(R) Bloomberg 1-3 Month T-Bill ETF- with shares held of 2,094,540. Whalewisdom has at least 64 13F filings, 89 13G filings, and 22 Form 4 filings

12/31/2022

13F Activity

  • Market Value $1.819 Billion
  • Prior Market Value $1.781 Billion
  • New Purchases80 stocks
  • Additional Purchases357 stocks
  • Sold out of68 stocks
  • Reduced holdings in531 stocks
  • Top 10 Holdings % 32.64 %
  • Turnover % [1]:14.00%
  • Turnover Alt % [2]: 4.34 %
  • Time Held Top20:11.25 quarters
  • Time Held Top10:12.20 quarters
  • Time Held All:17.82 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.

12/31/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-02-14

Performance for Q4 2022: 4.4%
Performance Last 4 Quarters: -9.59%
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

Global (ex. US) Holdings

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Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

View Last Form Adv Compilation Report on Record

WEDBUSH SECURITIES INC.
ATTN: COMPLIANCE DEPT. 1000 WILSHIRE BLVD. SUITE 900
LOS ANGELES CA    90017
Country: United States
Business Phone: 213-688-8000
Fax: 213-688-6653
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: CA
Number of employees: 920
Other Business Activities: broker-dealer,futures commission merchant,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Commissions
Amount of client funds and securities: 3,853,370,000
Total Number of Clients: 8553
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.E (2),11.E (4),11.H (1).(b)
Data above was derived from SEC filings.

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WEDBUSH SECURITIES INC.

ownership team - last updated 2022-11-21
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE CHAIR, DIRECTOR 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE PRESIDENT, DIRECTOR 10/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
PRESTON, ERIN KATHLEEN CHIEF COMPLIANCE OFFICER 02/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2021-02-01
BLAND, GEOFFREY CONOR DIRECTOR 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2022-01-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
EDWARD AND JEAN WEDBUSH FAMILY TRUST SOLE MEMBER WEDBUSH FAMILY PARTNERS, LLC 12/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ONWARD ADVISORS LLC SHAREHOLDER indirect 2020-12-01
ONWARD ADVISORS LLC SOLE MEMBER indirect 2020-12-01
WEDBUSH SECURITIES INC. SOLE MEMBER indirect 2020-12-01
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-12-01
WEDBUSH FAMILY PARTNERS, LLC SHAREHOLDER WEDBUSH CAPITAL 12/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ONWARD ADVISORS LLC SHAREHOLDER indirect 2020-12-01
ONWARD ADVISORS LLC SOLE MEMBER indirect 2020-12-01
WEDBUSH SECURITIES INC. SOLE MEMBER indirect 2020-12-01
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-12-01
THE BRYN MAWR TRUST COMPANY OF DELAWARE TRUSTEE EDWARD AND JEAN WEDBUSH FAMILY TRUST 12/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
CI CAPITAL PARTNERS LLC TRUSTEE indirect 2015-11-01
PERRY CREEK CAPITAL LP TRUSTEE indirect 2014-06-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES, LLC 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2022-09-30
Name Title Start Date Direct/Indirect % Ownership

WEDBUSH SECURITIES INC.

ownership team - last updated 2022-05-03
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE CHAIR, DIRECTOR 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE PRESIDENT, DIRECTOR 10/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
CLANCY, PATRICIA ANNE HEAD OF OPERATIONS 08/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. HEAD OF OPERATIONS direct 2021-08-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
PRESTON, ERIN KATHLEEN CHIEF COMPLIANCE OFFICER 02/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2021-02-01
BLAND, GEOFFREY CONOR DIRECTOR 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2022-01-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH, JEAN SHAREHOLDER WEDBUSH CAPITAL 01/01/2020 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-01-01
MW INVESTMENT STRATEGY SHAREHOLDER indirect 2020-01-01
VAN HULZEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2020-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2022-01-13
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE CHAIR, DIRECTOR 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE PRESIDENT, DIRECTOR 10/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
CLANCY, PATRICIA ANNE HEAD OF OPERATIONS 08/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. HEAD OF OPERATIONS direct 2021-08-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
PARRODE, RODRIGO EVP, CIO AND HEAD OF TECHNOLOGY & OPERATIONS 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EVP, CIO AND HEAD OF TECHNOLOGY & OPERATIONS direct 2021-10-01
PRESTON, ERIN KATHLEEN CHIEF COMPLIANCE OFFICER 02/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2021-02-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH, JEAN SHAREHOLDER WEDBUSH CAPITAL 01/01/2020 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-01-01
MW INVESTMENT STRATEGY SHAREHOLDER indirect 2020-01-01
VAN HULZEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2020-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2021-10-26
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE VICE PRESIDENT, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE PRESIDENT, DIRECTOR 10/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
CLANCY, PATRICIA ANNE HEAD OF OPERATIONS 08/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. HEAD OF OPERATIONS direct 2021-08-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
PRESTON, ERIN KATHLEEN CHIEF COMPLIANCE OFFICER 02/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2021-02-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH, JEAN SHAREHOLDER WEDBUSH CAPITAL 01/01/2020 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-01-01
MW INVESTMENT STRATEGY SHAREHOLDER indirect 2020-01-01
VAN HULZEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2020-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2021-09-30
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE VICE PRESIDENT, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE PRESIDENT, DIRECTOR 10/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
CLANCY, PATRICIA ANNE HEAD OF OPERATIONS 08/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. HEAD OF OPERATIONS direct 2021-08-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
PRESTON, ERIN KATHLEEN CHIEF COMPLIANCE OFFICER 02/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2021-02-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH, JEAN SHAREHOLDER WEDBUSH CAPITAL 01/01/2020 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-01-01
MW INVESTMENT STRATEGY SHAREHOLDER indirect 2020-01-01
VAN HULZEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2020-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2021-03-03
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE VICE PRESIDENT, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
SCANLON, SEAN MARTIN SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. S.V.P., PRINCIPAL OPERATIONS OFFICER direct 2019-09-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE PRESIDENT, DIRECTOR 10/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
PRESTON, ERIN KATHLEEN CHIEF COMPLIANCE OFFICER 02/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2021-02-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH, JEAN SHAREHOLDER WEDBUSH CAPITAL 01/01/2020 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SHAREHOLDER indirect 2020-01-01
MW INVESTMENT STRATEGY SHAREHOLDER indirect 2020-01-01
VAN HULZEN ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2020-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2020-09-30
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE VICE PRESIDENT, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
SCANLON, SEAN MARTIN SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. S.V.P., PRINCIPAL OPERATIONS OFFICER direct 2019-09-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
MCMASTER, MICHAEL GERARD SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 05/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2020-05-01
WEDBUSH, GARY LANCE CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2020-06-19
Name Title Start Date Direct/Indirect % Ownership
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
HULTGREN, DONALD WAYNE EXECUTIVE VICE PRESIDENT, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
SCANLON, SEAN MARTIN SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. S.V.P., PRINCIPAL OPERATIONS OFFICER direct 2019-09-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
MCMASTER, MICHAEL GERARD SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 05/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2020-05-01
WEDBUSH, GARY LANCE CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
WEDBUSH, ERIC DEAN DIRECTOR 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. DIRECTOR direct 2010-04-01
WEDBUSH ASSET MANAGEMENT, LLC PRESIDENT direct 2012-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER direct 2016-06-01
SEPULVEDA MANAGEMENT LLC BOARD MEMBER direct 2016-06-01
WEDBUSH FINANCIAL SERVICES, LLC OWNER 01/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. OWNER direct 2020-01-01
WEDBUSH CAPITAL SOLE MEMBER WEDBUSH FINANCIAL SERVICES LLC 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30

WEDBUSH SECURITIES INC.

ownership team - last updated 2019-11-13
Name Title Start Date Direct/Indirect % Ownership
MOY, VINCENT JOHN SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP 07/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-07-01
WEDBUSH CAPITAL CORPORATE PARENT 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30
WEDBUSH, ERIC DEAN DIRECTOR 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. DIRECTOR direct 2010-04-01
WEDBUSH ASSET MANAGEMENT, LLC PRESIDENT direct 2012-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER direct 2016-06-01
SEPULVEDA MANAGEMENT LLC BOARD MEMBER direct 2016-06-01
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CFO 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
RICHARDS, R JAMES EXECUTIVE VICE PRESIDENT 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-12-01
WEDBUSH MORGAN SECURITIES INC. CHIEF OPERATIONS OFFICER & SENIOR VICE PRESIDENT direct 1998-08-01 2003-01-15
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER & EXECUTIVE VICE PRESIDENT direct 2004-12-01 2005-02-11
FRAUNCES, KIRSTEN CAMPBELL EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
JABLONSKI, RICHARD MICHAEL CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2014-02-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2016-08-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2016-08-01
NADALALICEA, DANIEL ANTONIO EXECUTIVE VICE PRESIDENT, CIO 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CIO direct 2018-08-01
PASET, ROBERT EDWARD EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
DEMPSEY, FRANCIS BURKE EXECUTIVE VICE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-09-01
MONE, CHRISTOPHER MICHAEL EXECUTIVE VICE PRESIDENT 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2019-03-01
WEDBUSH, GARY LANCE CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
SCANLON, SEAN MARTIN S.V.P., PRINCIPAL OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. S.V.P., PRINCIPAL OPERATIONS OFFICER direct 2019-09-01
DRUCH, ANDREW WALTER EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING BARINGS CORP. CHIEF LEGAL OFFICER direct 2001-04-01 2005-03-31
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 2003-01-01 2005-04-12
HULTGREN, DONALD WAYNE DIRECTOR, E.V.P., CHIEF ADMINISTRATIVE OFFICER 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
SEGALL, ERIC STUART SENIOR VICE PRESIDENT, CO-CCO, ROSFP 10/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-10-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROFSP direct 2007-10-01
WEDBUSH MORGAN SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, CROP direct 2007-10-01
MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
WEDBUSH, EDWARD WILLIAM SHAREHOLDER WEDBUSH CAPITAL 11/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11

WEDBUSH SECURITIES INC.

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
SEGALL, ERIC STUART SENIOR VICE PRESIDENT, CO-CCO, ROSFP 10/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-10-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROFSP direct 2007-10-01
WEDBUSH MORGAN SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, CROP direct 2007-10-01
MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
THOMPSON, HARLAN HOLT DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HULICK CAPITAL MANAGEMENT LLC MINORITY OWNER direct 2015-12-01
PROVIDENT INVESTMENT COUNSEL, INC. MANAGING DIRECTOR direct 2000-07-01 2003-04-02
HULTGREN, DONALD WAYNE DIRECTOR, E.V.P., CHIEF ADMINISTRATIVE OFFICER 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MOY, VINCENT JOHN SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP 07/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-07-01
JABLONSKI, RICHARD MICHAEL CO-PRESIDENT, COO, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2014-02-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2016-08-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2016-08-01
RICHARDS, R JAMES EXECUTIVE VICE PRESIDENT 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-12-01
WEDBUSH MORGAN SECURITIES INC. CHIEF OPERATIONS OFFICER & SENIOR VICE PRESIDENT direct 1998-08-01 2003-01-15
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER & EXECUTIVE VICE PRESIDENT direct 2004-12-01 2005-02-11
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CFO 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
WEDBUSH, EDWARD WILLIAM DIRECTOR 07/01/1966 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11
WEDBUSH, ERIC DEAN DIRECTOR 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. DIRECTOR direct 2010-04-01
WEDBUSH ASSET MANAGEMENT, LLC PRESIDENT direct 2012-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER direct 2016-06-01
SEPULVEDA MANAGEMENT LLC BOARD MEMBER direct 2016-06-01
SCOTT, WILLIAM ALSTON SENIOR VICE PRESIDENT 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT direct 2017-06-01
WEDBUSH, INC. CORPORATE PARENT 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30
WEDBUSH, EDWARD WILLIAM SHAREHOLDER, DIRECTOR WEDBUSH INC. 11/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11

WEDBUSH SECURITIES INC.

ownership team - last updated 2019-02-26
Name Title Start Date Direct/Indirect % Ownership
SEGALL, ERIC STUART SENIOR VICE PRESIDENT, CO-CCO, ROSFP 10/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-10-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROFSP direct 2007-10-01
WEDBUSH MORGAN SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, CROP direct 2007-10-01
MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
THOMPSON, HARLAN HOLT DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HULICK CAPITAL MANAGEMENT LLC MINORITY OWNER direct 2015-12-01
PROVIDENT INVESTMENT COUNSEL, INC. MANAGING DIRECTOR direct 2000-07-01 2003-04-02
HULTGREN, DONALD WAYNE DIRECTOR, E.V.P., CHIEF ADMINISTRATIVE OFFICER 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MOY, VINCENT JOHN SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP 07/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-07-01
JABLONSKI, RICHARD MICHAEL CO-PRESIDENT, COO, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2014-02-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2016-08-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2016-08-01
RICHARDS, R JAMES EXECUTIVE VICE PRESIDENT 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-12-01
WEDBUSH MORGAN SECURITIES INC. CHIEF OPERATIONS OFFICER & SENIOR VICE PRESIDENT direct 1998-08-01 2003-01-15
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER & EXECUTIVE VICE PRESIDENT direct 2004-12-01 2005-02-11
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CFO 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
WEDBUSH, EDWARD WILLIAM DIRECTOR 07/01/1966 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11
WEDBUSH, ERIC DEAN DIRECTOR 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. DIRECTOR direct 2010-04-01
WEDBUSH ASSET MANAGEMENT, LLC PRESIDENT direct 2012-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER direct 2016-06-01
SEPULVEDA MANAGEMENT LLC BOARD MEMBER direct 2016-06-01
SCOTT, WILLIAM ALSTON SENIOR VICE PRESIDENT 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT direct 2017-06-01
WEDBUSH, INC. CORPORATE PARENT 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30
WEDBUSH, EDWARD WILLIAM SHAREHOLDER, DIRECTOR WEDBUSH INC. 11/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11

WEDBUSH SECURITIES INC.

ownership team - last updated 2018-10-26
Name Title Start Date Direct/Indirect % Ownership
SEGALL, ERIC STUART SENIOR VICE PRESIDENT, CO-CCO, ROSFP 10/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-10-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROFSP direct 2007-10-01
WEDBUSH MORGAN SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, CROP direct 2007-10-01
MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
THOMPSON, HARLAN HOLT DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HULICK CAPITAL MANAGEMENT LLC MINORITY OWNER direct 2015-12-01
PROVIDENT INVESTMENT COUNSEL, INC. MANAGING DIRECTOR direct 2000-07-01 2003-04-02
HULTGREN, DONALD WAYNE DIRECTOR, E.V.P., CHIEF ADMINISTRATIVE OFFICER 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
FITZSIMMONS, ROBERT GERARD EXECUTIVE VICE PRESIDENT 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2018-08-01
WEDBUSH, GARY LANCE CO-PRESIDENT, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MOY, VINCENT JOHN SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP 07/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-07-01
JABLONSKI, RICHARD MICHAEL CO-PRESIDENT, COO, DIRECTOR 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2014-02-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2016-08-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2016-08-01
RICHARDS, R JAMES EXECUTIVE VICE PRESIDENT 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-12-01
WEDBUSH MORGAN SECURITIES INC. CHIEF OPERATIONS OFFICER & SENIOR VICE PRESIDENT direct 1998-08-01 2003-01-15
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER & EXECUTIVE VICE PRESIDENT direct 2004-12-01 2005-02-11
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CFO 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
WEDBUSH, EDWARD WILLIAM DIRECTOR 07/01/1966 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11
WEDBUSH, ERIC DEAN DIRECTOR 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. DIRECTOR direct 2010-04-01
WEDBUSH ASSET MANAGEMENT, LLC PRESIDENT direct 2012-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER direct 2016-06-01
SEPULVEDA MANAGEMENT LLC BOARD MEMBER direct 2016-06-01
SCOTT, WILLIAM ALSTON SENIOR VICE PRESIDENT 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT direct 2017-06-01
WEDBUSH, INC. CORPORATE PARENT 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30
WEDBUSH, EDWARD WILLIAM SHAREHOLDER, DIRECTOR WEDBUSH INC. 11/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11

WEDBUSH SECURITIES INC.

ownership team - last updated 2017-09-28
Name Title Start Date Direct/Indirect % Ownership
SEGALL, ERIC STUART SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP 10/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-10-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROFSP direct 2007-10-01
WEDBUSH MORGAN SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, CROP direct 2007-10-01
MAGNA HIGHLIGHT CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
HULTGREN, DONALD WAYNE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2013-05-01
WEDBUSH SECURITIES INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2013-05-01
LANGDON, HARRY L DIRECTOR 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 1999-02-01
WEDBUSH, GARY LANCE EXECUTIVE VICE PRESIDENT 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-11-01
MOY, VINCENT JOHN SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP 07/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER direct 2007-07-01
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ROSFP direct 2007-07-01
JABLONSKI, RICHARD MICHAEL EXECUTIVE VICE PRESIDENT 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2014-02-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2016-08-01
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2016-08-01
RICHARDS, R JAMES EXECUTIVE VICE PRESIDENT 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT direct 2004-12-01
WEDBUSH MORGAN SECURITIES INC. CHIEF OPERATIONS OFFICER & SENIOR VICE PRESIDENT direct 1998-08-01 2003-01-15
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER & EXECUTIVE VICE PRESIDENT direct 2004-12-01 2005-02-11
BILLINGS, DANIEL ERIC EXECUTIVE VICE PRESIDENT, CFO 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. EXECUTIVE VICE PRESIDENT, CFO direct 2017-09-01
WEDBUSH, EDWARD WILLIAM PRESIDENT & DIRECTOR 07/01/1966 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11
WEDBUSH, ERIC DEAN DIRECTOR 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. DIRECTOR direct 2010-04-01
WEDBUSH ASSET MANAGEMENT, LLC PRESIDENT direct 2012-01-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER direct 2016-06-01
SEPULVEDA MANAGEMENT LLC BOARD MEMBER direct 2016-06-01
DAVID, DARRYL GEORGE SENIOR VICE PRESIDENT, DIVISION MANAGER, ROSFP 08/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT, DIVISION MANAGER, ROSFP direct 2007-08-01
WEDBUSH MORGAN SECURITIES INC. VICE PRESIDENT, DIVISION MANAGER, SROP - IC direct 2007-08-01
WEDBUSH SECURITIES INC. VICE PRESIDENT, DIVISION MANAGER, ROFSP direct 2007-08-01
SCHAUERMAN, JOHN PATRICK DIRECTOR 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. DIRECTOR direct 2014-08-01
SCOTT, WILLIAM ALSTON SENIOR VICE PRESIDENT 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. SENIOR VICE PRESIDENT direct 2017-06-01
WEDBUSH, INC. CORPORATE PARENT 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEDBUSH SECURITIES INC. CORPORATE PARENT direct 2004-11-01
VAN HULZEN ASSET MANAGEMENT, LLC PASSIVE direct 2011-07-01
WEDBUSH ASSET MANAGEMENT, LLC MEMBER indirect 2015-12-01
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2015-12-01
CHELSEA COUNSEL COMPANY OWNER indirect 2016-03-01
WEDBUSH MORGAN SECURITIES INC. CORPORATE PARENT direct 1996-12-01 2003-01-15
WEDBUSH ASSET MANAGEMENT, LLC MEMBER direct 2012-01-01 2016-02-11
SEPULVEDA MANAGEMENT LLC MEMBER indirect 2012-01-01 2016-06-30
WEDBUSH, EDWARD WILLIAM SHAREHOLDER, DIRECTOR WEDBUSH INC. 11/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WEDBUSH MORGAN SECURITIES INC. PRESIDENT & DIRECTOR direct 1966-07-01
VAN HULZEN ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER indirect 2004-11-01
WEDBUSH ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH SECURITIES INC. SHAREHOLDER, DIRECTOR indirect 2004-11-01
SEPULVEDA MANAGEMENT LLC SHAREHOLDER indirect 2004-11-01
WEDBUSH MORGAN SECURITIES INC. CEO & DIRECTOR direct 1966-07-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-02-08
WEDBUSH MORGAN SECURITIES INC. CO-CHIEF COMPLIANCE OFFICER direct 2006-08-01 2007-09-11

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