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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

ETF Holdings

Assets

Assets

Last updated on May 15, 2019
    • $3.1B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 3K
      Accounts
    • $1.2M
      Estimated Average Account Balance

Services

Firm Services

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

Firm Client types

There is no client type data to display at this time.

Advisors

Current Advisors

# of advisors

18

name start date
Donna Marie Valles
September 2014
John Robert Mousseau
January 2001
Matthew Craig Mcaleer
February 2014
Gabriel Maximilian Hament
March 2016
William Hoyt Witherell
January 2006

    Leadership

    Ownership

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

    Executives and Control Persons

    Name Title Tenure Date % Ownership
    David Raphael Kotok Chairman, Director, Cio, Shareholder April, 2018 10% to 25%
    Daisy Gloria Lopez Executive Vice President, Director, Shareholder April, 2018 10% to 25%
    John Robert Mousseau President, Ceo, Director, Shareholder April, 2018 10% to 25%
    David Emerson Sparks Director, Shareholder April, 2018 10% to 25%
    Jerome Irwin Marcus Director, Shareholder April, 2018 5% to 10%
    Lawrence Edward Donato Director, Shareholder April, 2018 5% to 10%
    Robert Allen Eisenbeis Vice Chairman, Director, Shareholder January, 2011 5% to 10%
    Phyllis Ann Streit Cfo, Secretary, Treasurer, Director, Shareholder April, 2018 5% to 10%
    Patricia Mary Healy Sr Vice President, Shareholder April, 2018 less than 5%
    Timothy James Lyle Chief Compliance Officer March, 2018 less than 5%
    Matthew Craig Mcaleer Executive Vice President, Director, Shareholder April, 2018 less than 5%
    Michael Dennis Mcniven Sr. Vice President, Shareholder April, 2018 less than 5%
    Maribel No Middle Name Echevarria Sr. Vice President, Shareholder March, 2005 less than 5%
    Donna Lee Sooy Sr. Vice President, Shareholder March, 2005 less than 5%
      Source: SEC

      Fees

      Types of Compensation Arrangements

      • Percentage Of Assets
      • Hourly Charges
      • Fixed Fees