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ETF Holdings

There is no ETF holding data from this firm to display at this time.



Last updated on Sept. 30, 2016
    • $18.3B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 150K
    • $122.4K
      Estimated Average Account Balance


Firm Services

  • Financial Planning

Firm Client types


Current Advisors

# of advisors


name start date
Phil Jasso
June 2007
Tobin Jon Brandt
January 2015
Peter Benjamin Levin
April 2007
Todd Aaron Sterling
June 2011
James Giel Sullivan
August 1993

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Fiduciary Trust Company of New Hampshire -- --
    Ivy Funds Distributor, Inc. Broker-Dealer --
    Ivy Investments IAR $44,683,459,702
    Waddell & Reed Investments IAR $43,222,804,862



      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Mark Joseph Schlafly Executive Vice President May, 2016 less than 5%
      Benjamin Russell Clouse Vice President, Principal Accounting Officer, Principal Financial Officer March, 2016 less than 5%
      Brent Kyle Bloss Senior Vice President, Treasurer, Director April, 2014 less than 5%
      Derek David Burke President, Chief Operating Officer, Director May, 2015 less than 5%
      Shawn Michael Mihal Chief Regulatory Officer, Chief Compliance Officer, Senior Vice President April, 2015 less than 5%
      Kenneth Michael Cherrier Senior Vice President And Chief Supervisory Officer February, 2013 less than 5%
      Thomas William Butch Chairman Of The Board, Chief Executive Officer, Director March, 2005 less than 5%
      Karen Forslund Lare Senior Vice President May, 2010 less than 5%
      Mark Patrick Buyle Senior Vice President, Associate General Counsel March, 2000 less than 5%
      Henry John Herrmann Director May, 1993 less than 5%
        Source: SEC


        Types of Compensation Arrangements

        • Percentage Of Assets
        • Fixed Fees
        • Variable Fees