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Overview

Articles

Insights

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

Holdings

ETF Holdings

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

Assets

Assets

Last updated on Jan. 7, 2016
    • $15.2B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 26
      Accounts
    • $582.7M
      Estimated Average Account Balance

Services

Firm Services

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

Firm Client types

Advisors

Current Advisors

# of advisors

0

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

Affiliated Investment Advisors and Broker Dealers

Name Type Total Assets
American Express Asset Management International Inc. IAR $1,073,196,425
American Express Bank, Fsb IAR $215,000,000
Ameriprise Financial Services, Inc. Dual Registrant $178,060,338,187
Ameriprise Financial, Inc. Dual Registrant $147,301,132,186
Columbia Management Investment Advisers, LLC IAR $338,819,167,107
Kenwood Capital Management LLC IAR $373,287,447
Securities America Advisors, Inc. IAR $13,432,560,320
Thomas William Anthony -- --

    Leadership

    Ownership

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

    Executives and Control Persons

    Name Title Tenure Date % Ownership
    Stephen Wesley Roszell Director January, 2002 less than 5%
    Barbara Helen Fraser Director, Ceo, Chairman July, 2002 less than 5%
    David Kent Stewart Acting Cfo July, 2002 less than 5%
    John Theodore Sweeney Director, Evp-Finance March, 2002 less than 5%
    Beth Ellen Weimer Chief Compliance Officer June, 2001 less than 5%
    Gumer Cruz Alvero Director, Evp - Annuities April, 2001 less than 5%
    Timothy Vernon Bechtold Director, President April, 2001 less than 5%
    Teresa Joy Rasmussen Vp, General Counsel August, 2000 less than 5%
    Barry J Murphy Director March, 1994 less than 5%
      Source: SEC

      Fees

      Types of Compensation Arrangements

      • Percentage Of Assets
      • (6) Performance-Based Fees